DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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Former SEC-registered adviser
R••• W••••• M•••••••••
Legal name R••• W••••• M••••••••• I•••
Latest filing Mar 27, 2024
First filing on the tape Mar 26, 2019 · 16 filings
SEC status approved since Apr 25, 2019
RAUM
$404M
reported, Item 5.F
Discretionary
0.8%
of RAUM
Private clients
100%
$404M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$404M as of Mar 27, 2024
Feb 14, 2020$246M then
HNW client RAUM$238M as of Mar 27, 2024
Feb 14, 2020$115M then
State-registered IARs (5.B.3)3 as of Mar 27, 2024
Feb 14, 20204 then
Employees (5.A)7 as of Mar 27, 2024
Feb 14, 20206 then
Private funds: no history
RAUM +23% over the last fiscal year+16% a year over threeIARs 4 to 3offices 1 to 0
Practice profile
derived from the filing of Mar 27, 2024; every figure names its basis
- RAUM per advisor
- $135MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 220derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $247,044derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.8%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- -25%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +15%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, publications, educational seminarsreportedItem 5.G
- Wrap fee program
- $1.6MreportedItem 5.I
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$238M59%
- Individuals$167M41%
- Individual clients
- 536reported
- HNW clients
- 124reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1,636reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $1.6M sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- J••••• T•••• B••••• to A••••••• F••••••••• L•••Mar 31, 2025 · RIA to affiliated broker-dealer or bank
- R••••• C•••••• R••• to A••••••• F••••••••• L•••Mar 31, 2025 · RIA to affiliated broker-dealer or bank
- K•••• S••••••• to A••••••• F••••••••• L•••Mar 31, 2025 · RIA to affiliated broker-dealer or bank
Joined, latest
- J••••• T•••• B••••• from O•••• W•••••• I•••Aug 9, 2018 · Affiliated broker-dealer or bank to independent RIA
- R••••• C•••••• R••• from O•••• W•••••• I•••Aug 9, 2018 · Affiliated broker-dealer or bank to independent RIA
- K•••• S••••••• from O•••• W•••••• I•••Aug 9, 2018 · Affiliated broker-dealer or bank to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for A••••••• F••••••••• L•••Mar 31, 2025 · Yuba City, Ca · Firm absorbed
- 2 joined from O•••• W•••••• I•••Dec 4, 2024 · Yuba City, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R•••• R•••••• C•••••• · Principal & Chief Compliance Officer & Shareholdercontrolsince 04/2018 · owns 75% or more
- B•••••• J•••••• T• · Shareholdersince 01/2019 · owns 5% to 10%
- S•••••••• K••••• C•••••• · Shareholdersince 09/2019 · owns 5% to 10%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Yuba City, Ca · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,311 to 1,636Aug 9, 2023 to Mar 27, 2024
- BD registered reps · 3 to 4Aug 9, 2023 to Mar 27, 2024
- Charity clients · unset to 0.0Aug 9, 2023 to Mar 27, 2024
- Corporate clients · 7 to 0Aug 9, 2023 to Mar 27, 2024
- HNW clients · 84 to 124Aug 9, 2023 to Mar 27, 2024
- Individual clients · 490 to 536Aug 9, 2023 to Mar 27, 2024
- Pension plan clients · 5 to 0Aug 9, 2023 to Mar 27, 2024
- Employees · 6 to 7Aug 9, 2023 to Mar 27, 2024
- Discretionary RAUM · $5.1M to $3.1MAug 9, 2023 to Mar 27, 2024
- HNW RAUM · $162M to $238MAug 9, 2023 to Mar 27, 2024
- Individual RAUM · $151M to $167MAug 9, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $322M to $401MAug 9, 2023 to Mar 27, 2024
- Pension RAUM · $6.3M to $0Aug 9, 2023 to Mar 27, 2024
- RAUM · $327M to $404MAug 9, 2023 to Mar 27, 2024
- Wrap assets (sponsor) · $3.5M to $1.6MAug 9, 2023 to Mar 27, 2024
- Advisory employees · 4 to 3Mar 27, 2023 to Apr 4, 2023
- Employees · 7 to 6Mar 27, 2023 to Apr 4, 2023
- State-registered IARs · 4 to 3Mar 27, 2023 to Apr 4, 2023
- Other offices · 1 to 0Mar 27, 2023 to Apr 4, 2023
- Accounts · 2,077 to 1,311Jul 11, 2022 to Mar 27, 2023
- BD registered reps · 4 to 3Jul 11, 2022 to Mar 27, 2023
- Charity clients · 0.0 to unsetJul 11, 2022 to Mar 27, 2023
- Corporate clients · 0 to 7Jul 11, 2022 to Mar 27, 2023
- HNW clients · 87 to 84Jul 11, 2022 to Mar 27, 2023
- Individual clients · 1,402 to 490Jul 11, 2022 to Mar 27, 2023
- Pension plan clients · 0 to 5Jul 11, 2022 to Mar 27, 2023
- Employees · 8 to 7Jul 11, 2022 to Mar 27, 2023
- Insurance-licensed employees · 4 to 3Jul 11, 2022 to Mar 27, 2023
- Discretionary RAUM · $30.3M to $5.1MJul 11, 2022 to Mar 27, 2023
- HNW RAUM · $176M to $162MJul 11, 2022 to Mar 27, 2023
- Individual RAUM · $258M to $151MJul 11, 2022 to Mar 27, 2023
- Non-discretionary RAUM · $404M to $322MJul 11, 2022 to Mar 27, 2023
- Pension RAUM · $0 to $6.3MJul 11, 2022 to Mar 27, 2023
- RAUM · $434M to $327MJul 11, 2022 to Mar 27, 2023
- Wrap assets (sponsor) · $30.0M to $3.5MJul 11, 2022 to Mar 27, 2023
- Accounts · 1,023 to 2,077Dec 20, 2021 to Feb 11, 2022
- Corporate clients · 2 to 0Dec 20, 2021 to Feb 11, 2022
- HNW clients · 69 to 87Dec 20, 2021 to Feb 11, 2022
- Individual clients · 355 to 1,402Dec 20, 2021 to Feb 11, 2022
- Pension plan clients · 2 to 0Dec 20, 2021 to Feb 11, 2022
Signals
9 dated events
- R••• W••••• M••••••••• no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $404.2M)May 2, 2025 · Left the SEC roster · derived
- R••••• C•••••• R••• left R••• W••••• M••••••••• for A••••••• F••••••••• L••• (registered 2024-12-06)Mar 31, 2025 · Advisor changed firm · fact
- J••••• T•••• B••••• left R••• W••••• M••••••••• for A••••••• F••••••••• L••• (registered 2024-12-16)Mar 31, 2025 · Advisor changed firm · fact
- R••• W••••• M•••••••••'s advisors moved to A••••••• F••••••••• L••• (Yuba City, CA): 3 of 3 registered, on the same dayMar 31, 2025 · Firm absorbed (people side) · derived
- K•••• S••••••• left R••• W••••• M••••••••• for A••••••• F••••••••• L••• (registered 2024-12-09)Mar 31, 2025 · Advisor changed firm · fact
- 2 advisors left O•••• W•••••• I••• (Yuba City, CA) for R••• W••••• M••••••••• on the same dayDec 4, 2024 · Team lift-out · derived
- R••• W••••• M••••••••• reported RAUM $433.8M, up 67% from $260.2M (2021-12-20 to 2022-02-11)Feb 11, 2022 · RAUM change · derived
- R••• W••••• M••••••••• reported RAUM $245.9M, up 97% from $124.9M (2019-10-01 to 2020-02-14)Feb 14, 2020 · RAUM change · derived
- R••• W••••• M••••••••• filed its initial SEC registration (Form ADV)Mar 26, 2019 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026