DFX Intelligence

RIA Intelligence

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SEC-registered adviser

T••• R••••• W••••• M•••••••••

Independent wealth managerSacramento, CaliforniaCRD 305773SEC 801-137185websiteIAPD
Legal name T••• R••••• W••••• M••••••••• L••
Latest filing Aug 26, 2026
First filing on the tape Aug 26, 2026 · 1 filings
SEC status approved since Aug 28, 2026
RAUM
$122M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$119M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$30.4M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
1 filings and snapshots on the tape
RAUM: $122M
HNW client RAUM: $41.5M
State-registered IARs (5.B.3): 4
Employees (5.A): 5
Private funds: no history
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
  • Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
RAUM per advisor
$30.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
64derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.9MderivedHNW RAUM over HNW clients
Average account
$173,571derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
1.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 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, pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
Custody
$46.5M, 177 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
  • Individuals$77.3M64%
  • High-net-worth individuals$41.5M34%
  • Pension and profit-sharing plans$1.6M1.3%
  • Corporations and businesses$1.1M0.9%
Individual clients
234reported
HNW clients
22reported
Pension plan clients
3reported
Charitable clients
0reported
Accounts
700reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
$46.5M for 177 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
private_client_share=0.98 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
M••• C••••••• B•••••••Certified Financial PlannerSacramento, CaOct 11, 201917 y2
P•••• S••••• M••••••Certified Financial PlannerSacramento, CaOct 11, 201912 y1
A•••••• P•••• W•••••Certified Financial PlannerSacramento, CaOct 11, 201914 y1
D••••••• R••• A••••Certified Financial PlannerSacramento, CaNov 23, 202012 y1
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
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      No Schedule A on the extract for this adviser.
      Related persons
      Schedule D 7.A
      No related person reported.
      Office movement
      IAPD branch city; joins and departures in 12 months
      OfficeAdvisorsJoinedLeftTeams outForming
      Sacramento, Ca · principal400
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      One filing, no change to show.
      Signals
      No event on the tape.
      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 email
      i•••@t••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
      Business phone
      916-545-2580reportedpublished by the firm, firm site, Sep 17, 2026
      Business phone
      916-545-2585reportedpublished by the firm, firm site, Sep 17, 2026
      Firm profile
      linkedin.com/company/twin-rivers-wealth-managementreportedpublic record, Form ADV, Sep 21, 2026
      Website
      t••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
      Principal office phone
      916-545-2581reportedpublic record, Form ADV, Aug 26, 2026
      Contact form
      t••••••••.comreportedpublished by the firm, firm site, Sep 17, 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
      $30.4Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026