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
D••••••••• W••••• M••••••••• L••
Latest filing Mar 13, 2026
First filing on the tape Oct 1, 2018 · 23 filings
SEC status approved since Apr 19, 2022
RAUM
$152M
reported, Item 5.F
Discretionary
79%
of RAUM
Private clients
100%
$152M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$76.0M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$152M as of Mar 13, 2026
Feb 26, 2019$51.1M then
HNW client RAUM$138M as of Mar 13, 2026
Feb 26, 2019$37.5M then
State-registered IARs (5.B.3)2 as of Mar 13, 2026
Feb 26, 20191 then
Employees (5.A)2 as of Mar 13, 2026
Feb 26, 20192 then
Private funds: no history
RAUM +9.2% over the last fiscal year+16% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 13, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $76.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 61derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $405,569derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 79%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
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.6%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$138M91%
- Individuals$13.9M9.1%
- Individual clients
- 51reported
- HNW clients
- 71reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 375reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C••••••••• B•••• C••••••Certified Financial Planner | Roseville, Ca | Nov 5, 2018 | 25 y | 3 |
| K••• A•••• G•••• | Roseville, Ca | May 1, 2019 | 22 y | 3 |
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
- K••• A•••• G•••• from M••••• S••••••May 1, 2019 · Wirehouse to independent RIA
- C••••••••• B•••• C•••••• from M••••• S••••••Nov 5, 2018 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from M••••• S••••••Nov 5, 2018 · Roseville, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••• C••••••••• B•••• · Managing Membercontrolsince 11/2018 · owns 75% or more
- G••••• K•••• A•••• · Chief Compliance Officercontrolsince 09/2019 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Roseville, Ca · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 359 to 375Feb 28, 2025 to Mar 13, 2026
- BD registered reps · 2 to 1Feb 28, 2025 to Mar 13, 2026
- HNW clients · 73 to 71Feb 28, 2025 to Mar 13, 2026
- Assets in custody · $11.9M to $12.5MFeb 28, 2025 to Mar 13, 2026
- Discretionary RAUM · $107M to $121MFeb 28, 2025 to Mar 13, 2026
- HNW RAUM · $125M to $138MFeb 28, 2025 to Mar 13, 2026
- Individual RAUM · $13.9M to $13.9MFeb 28, 2025 to Mar 13, 2026
- Non-discretionary RAUM · $32.5M to $31.4MFeb 28, 2025 to Mar 13, 2026
- RAUM · $139M to $152MFeb 28, 2025 to Mar 13, 2026
- Accounts · 350 to 359Apr 11, 2024 to Feb 28, 2025
- Advisory activities · 2 to 3Apr 11, 2024 to Feb 28, 2025
- BD registered reps · 1 to 2Apr 11, 2024 to Feb 28, 2025
- HNW clients · 61 to 73Apr 11, 2024 to Feb 28, 2025
- Individual clients · 42 to 51Apr 11, 2024 to Feb 28, 2025
- Assets in custody · $9.6M to $11.9MApr 11, 2024 to Feb 28, 2025
- Insurance-licensed employees · 1 to 0Apr 11, 2024 to Feb 28, 2025
- Financial planning clients · unset to 0Apr 11, 2024 to Feb 28, 2025
- Discretionary RAUM · $95.4M to $107MApr 11, 2024 to Feb 28, 2025
- HNW RAUM · $109M to $125MApr 11, 2024 to Feb 28, 2025
- Individual RAUM · $12.9M to $13.9MApr 11, 2024 to Feb 28, 2025
- Non-discretionary RAUM · $26.2M to $32.5MApr 11, 2024 to Feb 28, 2025
- RAUM · $122M to $139MApr 11, 2024 to Feb 28, 2025
- Accounts · 327 to 350Apr 19, 2023 to Jan 31, 2024
- HNW clients · 59 to 61Apr 19, 2023 to Jan 31, 2024
- Individual clients · 40 to 42Apr 19, 2023 to Jan 31, 2024
- Assets in custody · $5.5M to $9.6MApr 19, 2023 to Jan 31, 2024
- Discretionary RAUM · $74.3M to $95.4MApr 19, 2023 to Jan 31, 2024
- HNW RAUM · $86.5M to $109MApr 19, 2023 to Jan 31, 2024
- Individual RAUM · $12.1M to $12.9MApr 19, 2023 to Jan 31, 2024
- Non-discretionary RAUM · $24.3M to $26.2MApr 19, 2023 to Jan 31, 2024
- RAUM · $98.6M to $122MApr 19, 2023 to Jan 31, 2024
- Advisory activities · 3 to 2Mar 15, 2023 to Apr 19, 2023
- Accounts · 326 to 327Mar 16, 2022 to Mar 15, 2023
- HNW clients · 64 to 59Mar 16, 2022 to Mar 15, 2023
- Individual clients · 76 to 40Mar 16, 2022 to Mar 15, 2023
- Assets in custody · unset to 5486561.0Mar 16, 2022 to Mar 15, 2023
- Insurance-licensed employees · 0 to 1Mar 16, 2022 to Mar 15, 2023
- Discretionary RAUM · $82.1M to $74.3MMar 16, 2022 to Mar 15, 2023
- HNW RAUM · $85.2M to $86.5MMar 16, 2022 to Mar 15, 2023
- Individual RAUM · $19.6M to $12.1MMar 16, 2022 to Mar 15, 2023
Signals
2 dated events
- Alyse Kali Grant (Chief Compliance Officer) appeared on Schedule A of D••••••••• W••••• M••••••••• L••Mar 16, 2022 · Control person joined · fact
- D••••••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Mar 16, 2022 · 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
- Business phone
- 916-330-4108reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- d•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (916) 330 - 4108reportedpublic record, Form ADV, Mar 13, 2026
- Contact form
- d•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $76.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026