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
C••••••• P•••••• W•••••• L••
Latest filing Aug 26, 2026
First filing on the tape Aug 23, 2019 · 24 filings
SEC status approved since Sep 20, 2019
RAUM
$370M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
100%
$370M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$74.1M
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$370M as of Aug 26, 2026
Jan 17, 2020$130M then
HNW client RAUM$357M as of Aug 26, 2026
Jan 17, 2020$16.3M then
State-registered IARs (5.B.3)5 as of Aug 26, 2026
Jan 17, 20205 then
Employees (5.A)5 as of Aug 26, 2026
Jan 17, 20206 then
Private funds: no history
RAUM +12% over the last fiscal year+24% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Aug 26, 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
- $74.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 104derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $870,390derivedHNW RAUM over HNW clients
- Average account
- $706,921derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.9%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $148M, 129 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$357M96%
- Individuals$13.2M3.6%
- Charitable organizations$317,5010.1%
- Individual clients
- 111reported
- HNW clients
- 410reported
- Pension plan clients
- n/areported
- Charitable clients
- 2reported
- Accounts
- 524reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $148M for 129 clientsreported
- 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=2.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• B•••••• D••• | San Mateo, Ca | Oct 1, 2019 | 14 y | 2 |
| M••••••• L••••••• S•••• | San Mateo, Ca | Oct 1, 2019 | 13 y | 2 |
| B•••• D•••• W••••• | San Mateo, Ca | Oct 28, 2019 | 12 y | 2 |
| T••••• K••• F••••••Certified Financial Planner | San Mateo, Ca | Mar 27, 2023 | 10 y | 2 |
| B•••••• D••••••• C••••••••• | San Mateo, Ca | Nov 14, 2023 | 38 y | 7 |
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
- A••••• J••••• L••• to J••••• P••• G•••• L••Feb 28, 2022 · RIA to RIA
- M•••••• J•••• F•••••• to F•••••• W••••• M••••••••• L••Apr 15, 2020 · Other
Joined, latest
- B•••••• D••••••• C••••••••• from M••••• A•••••••• L••Nov 14, 2023 · Affiliated broker-dealer or bank to independent RIA
- T••••• K••• F•••••• from A••••••••• L•••Mar 27, 2023 · Other
- A••••• J••••• L••• from D••••••••• F••• A••••••• L•Dec 3, 2020 · Other
- B•••• D•••• W••••• from M••••• A•••••••• L••Oct 28, 2019 · Affiliated broker-dealer or bank to a newly registered adviser
- J••• B•••••• D••• from M••••• A•••••••• L••Oct 1, 2019 · Affiliated broker-dealer or bank to a newly registered adviser
- M•••••• J•••• F•••••• from M••••• A•••••••• L••Oct 1, 2019 · Affiliated broker-dealer or bank to a newly registered adviser
- M••••••• L••••••• S•••• from M••••• A•••••••• L••Oct 1, 2019 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 5 joined from M••••• A•••••••• L••Sep 30, 2019 · San Francisco, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••••• B••••••• D••••••• · Chief Executive Officercontrolsince 10/2019 · owns 25% to 50%
- D•••• J•••• B•••••• · Chief Investment Officercontrolsince 10/2019 · owns 10% to 25%
- E•••••••• M•••••••• L•• · Chief Compliance Officercontrolsince 07/2023 · owns less than 5%
- S••••• M•••••••• L••••••• · Advisorcontrolsince 10/2019 · owns 10% to 25%
- W•••••• B••••• D•••• · Advisorcontrolsince 10/2019 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| San Mateo, Ca · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- San Francisco, CA1 employees
- Walnut Creek, CA1 employees
What changed
consecutive filings, newest first
- Related adviser · false to trueJun 17, 2026 to Aug 26, 2026
- Accounts · 487 to 524Mar 31, 2025 to Mar 27, 2026
- Corporate clients · 2 to 1Mar 31, 2025 to Mar 27, 2026
- HNW clients · 345 to 410Mar 31, 2025 to Mar 27, 2026
- Individual clients · 138 to 111Mar 31, 2025 to Mar 27, 2026
- Assets in custody · unset to 147727707.0Mar 31, 2025 to Mar 27, 2026
- Custody of client assets · false to trueMar 31, 2025 to Mar 27, 2026
- Discretionary RAUM · $330M to $360MMar 31, 2025 to Mar 27, 2026
- HNW RAUM · $313M to $357MMar 31, 2025 to Mar 27, 2026
- Individual RAUM · $16.5M to $13.2MMar 31, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $100,604 to $10.8MMar 31, 2025 to Mar 27, 2026
- RAUM · $331M to $370MMar 31, 2025 to Mar 27, 2026
- Accounts · 489 to 487Sep 3, 2024 to Mar 31, 2025
- Charity clients · 1 to 2Sep 3, 2024 to Mar 31, 2025
- Corporate clients · 3 to 2Sep 3, 2024 to Mar 31, 2025
- HNW clients · 337 to 345Sep 3, 2024 to Mar 31, 2025
- Individual clients · 147 to 138Sep 3, 2024 to Mar 31, 2025
- Pension plan clients · 1.0 to unsetSep 3, 2024 to Mar 31, 2025
- Employees · 6 to 5Sep 3, 2024 to Mar 31, 2025
- Financial planning clients · 101-250 to 101-250Sep 3, 2024 to Mar 31, 2025
- Discretionary RAUM · $307M to $330MSep 3, 2024 to Mar 31, 2025
- HNW RAUM · $285M to $313MSep 3, 2024 to Mar 31, 2025
- Individual RAUM · $15.3M to $16.5MSep 3, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $0 to $100,604Sep 3, 2024 to Mar 31, 2025
- Pension RAUM · 2373088.0 to unsetSep 3, 2024 to Mar 31, 2025
- RAUM · $307M to $331MSep 3, 2024 to Mar 31, 2025
- HQ city · SAN FRANCISCO to SAN MATEOJun 26, 2024 to Sep 3, 2024
- Other offices · 0 to 2Jun 26, 2024 to Sep 3, 2024
- Accounts · 465 to 489Nov 14, 2023 to Mar 26, 2024
- HNW clients · 292 to 337Nov 14, 2023 to Mar 26, 2024
- Individual clients · 169 to 147Nov 14, 2023 to Mar 26, 2024
- Pension plan clients · unset to 1.0Nov 14, 2023 to Mar 26, 2024
- Discretionary RAUM · $195M to $307MNov 14, 2023 to Mar 26, 2024
- HNW RAUM · $180M to $285MNov 14, 2023 to Mar 26, 2024
- Individual RAUM · $13.5M to $15.3MNov 14, 2023 to Mar 26, 2024
- Pension RAUM · unset to 2373088.0Nov 14, 2023 to Mar 26, 2024
- RAUM · $195M to $307MNov 14, 2023 to Mar 26, 2024
- Accounts · 427 to 465Dec 6, 2022 to Mar 29, 2023
- Advisory employees · 4 to 5Dec 6, 2022 to Mar 29, 2023
- Charity clients · 2 to 1Dec 6, 2022 to Mar 29, 2023
Signals
8 dated events
- C••••••• P•••••• W•••••• L•• reported RAUM $306.7M, up 58% from $194.7M (2023-11-14 to 2024-03-26)Mar 26, 2024 · RAUM change · derived
- Lea Michelle Eldridge (Chief Compliance Officer) appeared on Schedule A of C••••••• P•••••• W•••••• L••Nov 14, 2023 · Control person joined · fact
- Leigh Stacy Sizemore (Chief Compliance Officer) no longer on Schedule A of C••••••• P•••••• W•••••• L•• (listed 2023-07-11, absent 2023-11-14)Nov 14, 2023 · Control person left · inference
- C••••••• P•••••• W•••••• L•• reported RAUM $194.7M, down 40% from $324.8M (2022-12-06 to 2023-03-29)Mar 29, 2023 · RAUM change · derived
- C••••••• P•••••• W•••••• L•• reported RAUM $324.8M, up 77% from $183.6M (2021-12-13 to 2022-03-18)Mar 18, 2022 · RAUM change · derived
- A••••• J••••• L••• left C••••••• P•••••• W•••••• L•• for J••••• P••• G•••• L•• (registered 2022-03-09)Feb 28, 2022 · Advisor changed firm · fact
- James Matthew Faubion (Wealth Strategist) no longer on Schedule A of C••••••• P•••••• W•••••• L•• (listed 2020-01-17, absent 2020-05-06)May 6, 2020 · Control person left · inference
- C••••••• P•••••• W•••••• L•• filed its initial SEC registration (Form ADV)Aug 23, 2019 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- C••••••• P•••••• W•••••• L•• · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/C•••••••-P••••••-WEALTHreportedpublic record, Form ADV, Sep 18, 2026
- Website
- C•••••••P••••••WEALTH.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 415-887-1430reportedpublic record, Form ADV, Aug 26, 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
- $74.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026