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
A•••• W••••• A•••••••
Legal name B•• C•••••••• • A••••••••• L••
Latest filing Mar 23, 2026
First filing on the tape Apr 17, 2019 · 9 filings
SEC status approved since Mar 21, 2025
RAUM
$135M
reported, Item 5.F
Discretionary
91%
of RAUM
Private clients
91%
$123M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$67.5M
derived; firm RAUM over IAPD count
Employees
3
2 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$135M as of Mar 23, 2026
Feb 21, 2025$124M then
HNW client RAUM$77.6M as of Mar 23, 2026
Feb 21, 2025$72.0M then
State-registered IARs (5.B.3)2 as of Mar 23, 2026
Feb 21, 20252 then
Employees (5.A)3 as of Mar 23, 2026
Feb 21, 20253 then
Private funds: no history
RAUM +8.9% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 23, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- $67.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 120derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.3MderivedHNW RAUM over HNW clients
- Average account
- $320,689derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 91%derivedof RAUM
- Institutional
- 8.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.7%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, 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$77.6M57%
- Individuals$45.5M34%
- Pension and profit-sharing plans$11.9M8.8%
- Individual clients
- 182reported
- HNW clients
- 58reported
- Pension plan clients
- 1reported
- Charitable clients
- 0reported
- Accounts
- 421reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.91 fund_share=0.0 institutional_share=0.09 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••• L•• C•••••••• | Chico, Ca | May 17, 2019 | 26 y | 3 |
| S••••• H•••• C••••••••Certified Financial Planner | Chico, Ca | May 17, 2019 | 13 y | 1 |
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
- M•••• L•• C•••••••• from F•••• A••••• A••••••• S•••••••• I•••May 17, 2019 · Affiliated broker-dealer or bank to a newly registered adviser
- S••••• H•••• C•••••••• from F•••• A••••• A••••••• S•••••••• I•••May 17, 2019 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from F•••• A••••• A••••••• S•••••••• I•••May 20, 2019 · San Francisco, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••••• M••••• L•• · Managing Member & Chief Compliance Officercontrolsince 04/2019 · owns 50% to 75%
- C••••••••• S•••••• H•••• · Managing Membercontrolsince 04/2019 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Chico, Ca · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- San Francisco, CA1 employees
What changed
consecutive filings, newest first
- Accounts · 392 to 421Feb 21, 2025 to Mar 23, 2026
- HNW clients · 51 to 58Feb 21, 2025 to Mar 23, 2026
- Individual clients · 185 to 182Feb 21, 2025 to Mar 23, 2026
- Discretionary RAUM · $114M to $123MFeb 21, 2025 to Mar 23, 2026
- HNW RAUM · $72.0M to $77.6MFeb 21, 2025 to Mar 23, 2026
- Individual RAUM · $41.9M to $45.5MFeb 21, 2025 to Mar 23, 2026
- Non-discretionary RAUM · $10.0M to $11.9MFeb 21, 2025 to Mar 23, 2026
- Pension RAUM · $10.0M to $11.9MFeb 21, 2025 to Mar 23, 2026
- RAUM · $124M to $135MFeb 21, 2025 to Mar 23, 2026
- Accounts · 202 to 392Aug 28, 2019 to Feb 21, 2025
- BD registered reps · 3 to 2Aug 28, 2019 to Feb 21, 2025
- Business name · A•••• W••••• A•••••••• L•• to A•••• W••••• A•••••••Aug 28, 2019 to Feb 21, 2025
- Corporate clients · 1 to 0Aug 28, 2019 to Feb 21, 2025
- HNW clients · 25 to 51Aug 28, 2019 to Feb 21, 2025
- Individual clients · 100 to 185Aug 28, 2019 to Feb 21, 2025
- Pension plan clients · 4 to 1Aug 28, 2019 to Feb 21, 2025
- Financial planning clients · 0 to 1-10Aug 28, 2019 to Feb 21, 2025
- Other offices · 1 to 0Aug 28, 2019 to Feb 21, 2025
- Discretionary RAUM · $43.9M to $114MAug 28, 2019 to Feb 21, 2025
- HNW RAUM · $26.4M to $72.0MAug 28, 2019 to Feb 21, 2025
- Individual RAUM · $14.9M to $41.9MAug 28, 2019 to Feb 21, 2025
- Non-discretionary RAUM · $5.2M to $10.0MAug 28, 2019 to Feb 21, 2025
- Pension RAUM · $6.6M to $10.0MAug 28, 2019 to Feb 21, 2025
- RAUM · $49.1M to $124MAug 28, 2019 to Feb 21, 2025
- BD registered reps · 2 to 3Aug 6, 2019 to Aug 28, 2019
- Employees · 2 to 3Aug 6, 2019 to Aug 28, 2019
- Accounts · 0 to 202Jun 4, 2019 to Aug 1, 2019
- Charity clients · unset to 0.0Jun 4, 2019 to Aug 1, 2019
- Corporate clients · unset to 1.0Jun 4, 2019 to Aug 1, 2019
- HNW clients · unset to 25.0Jun 4, 2019 to Aug 1, 2019
- Individual clients · unset to 100.0Jun 4, 2019 to Aug 1, 2019
- Pension plan clients · unset to 4.0Jun 4, 2019 to Aug 1, 2019
- Pooled vehicle clients · unset to 0.0Jun 4, 2019 to Aug 1, 2019
- Discretionary RAUM · $0 to $43.9MJun 4, 2019 to Aug 1, 2019
- HNW RAUM · $0 to $26.4MJun 4, 2019 to Aug 1, 2019
- Individual RAUM · $0 to $14.9MJun 4, 2019 to Aug 1, 2019
- Non-discretionary RAUM · $0 to $5.2MJun 4, 2019 to Aug 1, 2019
- Pension RAUM · $0 to $6.6MJun 4, 2019 to Aug 1, 2019
- RAUM · $0 to $49.1MJun 4, 2019 to Aug 1, 2019
- Business name · B••• C•••••••• • A••••••••• L•• to A•••• W••••• A•••••••• L••Apr 17, 2019 to May 17, 2019
Signals
1 dated events
- B••• C•••••••• • A••••••••• L•• filed its initial SEC registration (Form ADV)Apr 17, 2019 · ria f•••• adv filing · 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
- 415-373-5442reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 530-924-0110reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 530-924-0114reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/altum-wealth-advisorsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- altumwealth.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 530-924-0110reportedpublic record, Form ADV, Mar 23, 2026
- Contact form
- altumwealth.com/contact-usreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- altumwealth.com/teamreportedpublished 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
- $67.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026