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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SEC-registered adviser
V••••• F•••••••• P•••••••• L••
Latest filing Mar 3, 2026
First filing on the tape Feb 23, 2024 · 9 filings
SEC status approved since Mar 22, 2024
RAUM
$157M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$157M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$157M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$157M as of Mar 3, 2026
Mar 3, 2025$129M then
HNW client RAUM$157M as of Mar 3, 2026
Mar 3, 2025$129M then
State-registered IARs (5.B.3)1 as of Mar 3, 2026
Mar 3, 20251 then
Employees (5.A)1 as of Mar 3, 2026
Mar 3, 20251 then
Private funds: no history
RAUM +22% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 3, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $157MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.2MderivedHNW RAUM over HNW clients
- Average account
- $465,014derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $124M, 89 clientsreportedItem 9.A
- 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
- buys or sells securities as principal to or from clients (8.A.2)
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$157M100%
- Individual clients
- n/areported
- HNW clients
- 37reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 338reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $124M for 89 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••••• H••• L•Certified Financial Planner | San Carlos, Ca | May 25, 2018 | 14 y | 2 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- T••••• H••• L• from A••••••••• L••May 25, 2018 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L•• T•••••• H••• · Principal, Ccocontrolsince 04/2018 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 298 to 338Sep 25, 2025 to Mar 3, 2026
- HNW clients · 34 to 37Sep 25, 2025 to Mar 3, 2026
- Individual clients · 1.0 to unsetSep 25, 2025 to Mar 3, 2026
- Assets in custody · $28.2M to $124MSep 25, 2025 to Mar 3, 2026
- Discretionary RAUM · $129M to $157MSep 25, 2025 to Mar 3, 2026
- HNW RAUM · $129M to $157MSep 25, 2025 to Mar 3, 2026
- Individual RAUM · 432096.0 to unsetSep 25, 2025 to Mar 3, 2026
- RAUM · $129M to $157MSep 25, 2025 to Mar 3, 2026
- Advisory activities · 2 to 3Jun 24, 2025 to Aug 27, 2025
- Assets in custody · unset to 28156142.0Mar 7, 2025 to Jun 24, 2025
- Custody of client assets · false to trueMar 7, 2025 to Jun 24, 2025
- Financial planning clients · 26-50 to 26-50Mar 7, 2025 to Jun 24, 2025
- Accounts · 231 to 298Apr 3, 2024 to Mar 3, 2025
- HNW clients · 36 to 34Apr 3, 2024 to Mar 3, 2025
- Individual clients · 5 to 1Apr 3, 2024 to Mar 3, 2025
- HQ city · unset to Apr 3, 2024 to Mar 3, 2025
- HQ state · unset to Apr 3, 2024 to Mar 3, 2025
- Discretionary RAUM · $102M to $129MApr 3, 2024 to Mar 3, 2025
- HNW RAUM · $99.2M to $129MApr 3, 2024 to Mar 3, 2025
- Individual RAUM · $2.4M to $432,096Apr 3, 2024 to Mar 3, 2025
- RAUM · $102M to $129MApr 3, 2024 to Mar 3, 2025
Signals
1 dated events
- V••••• F•••••••• P•••••••• L•• filed its initial SEC registration (Form ADV)Feb 23, 2024 · 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.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/vestedfinancialplanningreportedpublic record, Form ADV, Sep 18, 2026
- Website
- vestedfinancialplanning.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 650-315-7372reportedpublic record, Form ADV, Mar 3, 2026
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $157Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026