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.
SEC-registered adviser
Alaethes Wealth, LLC
Latest filing Sep 15, 2026
First filing on the tape Aug 12, 2020 · 15 filings
SEC status approved since Sep 11, 2020
RAUM
$526M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
99%
$522M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$175M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$526M as of Jun 8, 2026
Feb 19, 2021$160M then
HNW client RAUM$516M as of Jun 8, 2026
Feb 19, 2021$153M then
State-registered IARs (5.B.3)3 as of Jun 8, 2026
Feb 19, 20213 then
Employees (5.A)3 as of Jun 8, 2026
Feb 19, 20213 then
Private funds: no history
RAUM +20% over the last fiscal year+25% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Sep 15, 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
- RAUM per advisor
- $175MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 33derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.4MderivedHNW RAUM over HNW clients
- Average account
- $1.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 0.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.2%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, educational seminarsreportedItem 5.G
- Custody
- $19.3M, 4 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$516M98%
- Individuals$5.8M1.1%
- Pension and profit-sharing plans$2.9M0.6%
- Charitable organizations$1.5M0.3%
- Individual clients
- 17reported
- HNW clients
- 81reported
- Pension plan clients
- 2reported
- Charitable clients
- 2reported
- Accounts
- 328reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $19.3M for 4 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Candise Lisa HolmlundCertified Financial Planner, Chartered Financial Analyst | Rancho Santa Fe, Ca | Sep 5, 2019 | 41 y | 1 |
| Mark William Holmlund | Glenbrook, Nv | Sep 5, 2019 | 40 y | 0 |
| Cole Theodore Holmlund | Glenbrook, Nv | Aug 12, 2020 | 13 y | 0 |
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
- Candise Lisa Holmlund from Weatherly Asset ManagementSep 5, 2019 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Lisa Candise Holmlund · Chief Compliance Officercontrolsince 06/2019 · owns less than 5%
- Lisa Candise Holmlund · Trusteecontrolsince 06/2019 · owns 75% or more of The Holmlund Family Trust Dated 8.5.93
- William Mark Holmlund · Trusteesince 06/2019 · owns F of The Holmlund Family Trust Dated 8.5.93
Entity owners
- The Holmlund Family Trust Dated 8.5.93 · Ownerdirect · owns 75% or more
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 |
|---|---|---|---|---|---|
| Glenbrook, Nv | 3 | 0 | 0 | ||
| Rancho Santa Fe, Ca | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 3 employees
What changed
consecutive filings, newest first
- Financial planning clients · 1-10 to 1-10Jun 8, 2026 to Sep 15, 2026
- HQ city · to unsetJun 8, 2026 to Sep 15, 2026
- HQ state · to unsetJun 8, 2026 to Sep 15, 2026
- Related adviser · false to unsetJun 8, 2026 to Sep 15, 2026
- Related bank · false to unsetJun 8, 2026 to Sep 15, 2026
- Related broker-dealer · false to unsetJun 8, 2026 to Sep 15, 2026
- Related insurance company · false to unsetJun 8, 2026 to Sep 15, 2026
- Succession · false to unsetJun 8, 2026 to Sep 15, 2026
- Accounts · 327 to 328Feb 25, 2026 to Jun 8, 2026
- Individual clients · 16 to 17Feb 25, 2026 to Jun 8, 2026
- Discretionary RAUM · $491M to $504MFeb 25, 2026 to Jun 8, 2026
- HNW RAUM · $502M to $516MFeb 25, 2026 to Jun 8, 2026
- Individual RAUM · $4.9M to $5.8MFeb 25, 2026 to Jun 8, 2026
- Non-discretionary RAUM · $19.4M to $22.4MFeb 25, 2026 to Jun 8, 2026
- Pension RAUM · $2.2M to $2.9MFeb 25, 2026 to Jun 8, 2026
- RAUM · $510M to $526MFeb 25, 2026 to Jun 8, 2026
- Accounts · 263 to 327Jan 21, 2025 to Feb 25, 2026
- Charity clients · 1 to 2Jan 21, 2025 to Feb 25, 2026
- HNW clients · 78 to 81Jan 21, 2025 to Feb 25, 2026
- Assets in custody · $18.5M to $19.3MJan 21, 2025 to Feb 25, 2026
- Financial planning clients · 11-25 to 1-10Jan 21, 2025 to Feb 25, 2026
- Discretionary RAUM · $427M to $491MJan 21, 2025 to Feb 25, 2026
- HNW RAUM · $433M to $502MJan 21, 2025 to Feb 25, 2026
- Individual RAUM · $4.0M to $4.9MJan 21, 2025 to Feb 25, 2026
- Non-discretionary RAUM · $12.5M to $19.4MJan 21, 2025 to Feb 25, 2026
- Pension RAUM · $1.6M to $2.2MJan 21, 2025 to Feb 25, 2026
- RAUM · $439M to $510MJan 21, 2025 to Feb 25, 2026
- Accounts · 195 to 263Nov 21, 2024 to Jan 21, 2025
- HNW clients · 69 to 78Nov 21, 2024 to Jan 21, 2025
- Assets in custody · $19.6M to $18.5MNov 21, 2024 to Jan 21, 2025
- Financial planning clients · 1-10 to 11-25Nov 21, 2024 to Jan 21, 2025
- HQ city · unset to Nov 21, 2024 to Jan 21, 2025
- HQ state · unset to Nov 21, 2024 to Jan 21, 2025
- Discretionary RAUM · $372M to $427MNov 21, 2024 to Jan 21, 2025
- HNW RAUM · $379M to $433MNov 21, 2024 to Jan 21, 2025
- Individual RAUM · $5.0M to $4.0MNov 21, 2024 to Jan 21, 2025
- Non-discretionary RAUM · $13.9M to $12.5MNov 21, 2024 to Jan 21, 2025
- Pension RAUM · $1.3M to $1.6MNov 21, 2024 to Jan 21, 2025
- RAUM · $386M to $439MNov 21, 2024 to Jan 21, 2025
- Accounts · 100 to 195Jan 25, 2023 to Feb 20, 2024
Signals
2 dated events
- Alaethes Wealth, Llc reported RAUM $385.9M, up 43% from $269.1M (2023-01-25 to 2024-02-20)Feb 20, 2024 · RAUM change · derived
- Alaethes Wealth, Llc filed its initial SEC registration (Form ADV)Aug 12, 2020 · 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
- Website
- alaethes.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 858-735-9685reportedpublic record, Form ADV, Sep 15, 2026
- Team page
- alaethes.com/teamreportedpublished by the firm, firm site, Sep 15, 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
- $175Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026