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
S•••••••• F•••••••• S••••••••• I•••
Latest filing Jun 2, 2026
First filing on the tape Oct 17, 2019 · 32 filings
SEC status approved since Oct 15, 2019
RAUM
$926M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
60%
$554M individuals and HNW
Advisors
11
registered through the firm on IAPD
RAUM per advisor
$84.2M
derived; firm RAUM over IAPD count
Employees
15
11 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$926M as of Jun 2, 2026
Mar 17, 2020$525M then
HNW client RAUM$439M as of Jun 2, 2026
Mar 17, 2020$189M then
State-registered IARs (5.B.3)11 as of Jun 2, 2026
Mar 17, 202012 then
Employees (5.A)15 as of Jun 2, 2026
Mar 17, 202014 then
Private funds: no history
RAUM +14% over the last fiscal year+17% a year over threeIARs 0 to 11
Practice profile
derived from the filing of Jun 2, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $84.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 50derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $647,671derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 40%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 5.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.8%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
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$439M47%
- Pension and profit-sharing plans$369M40%
- Individuals$114M12%
- Corporations and businesses$3.0M0.3%
- Individual clients
- 394reported
- HNW clients
- 161reported
- Pension plan clients
- 70reported
- Charitable clients
- 0reported
- Accounts
- 1,430reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.6 fund_share=0.0 institutional_share=0.4 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
11 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K•••• L• R•••••• | El Dorado Hills, Ca | Nov 21, 2019 | 24 y | 1 |
| G•••••• A•••• P•••••••Personal Financial Specialist | El Dorado Hills, Ca | Dec 6, 2019 | 45 y | 1 |
| M•••••• L••• R•••••• | El Dorado Hills, Ca | Dec 6, 2019 | 18 y | 1 |
| B•••• D••••• G•••••••• | El Dorado Hills, Ca | Dec 6, 2019 | 14 y | 1 |
| J•••• R•••••• P••••••Certified Financial Planner, Chartered Financial Consultant | El Dorado Hills, Ca | Dec 6, 2019 | 20 y | 1 |
| D••••• C•••••• G•••••••• | El Dorado Hills, Ca | Dec 6, 2019 | 25 y | 2 |
| E••••• C•••••••• A•••••Certified Financial Planner | El Dorado Hills, Ca | Jan 18, 2022 | 10 y | 3 |
| J••••• S• W•••••• | El Dorado Hills, Ca | Apr 23, 2022 | 13 y | 0 |
| C•••• H••••••• | El Dorado Hills, Ca | Feb 25, 2023 | 13 y | 0 |
| D•••••• H•••• D•••• | El Dorado Hills, Ca | Apr 11, 2026 | 17 y | 2 |
| T••••• S• P•••••• | El Dorado Hills, Ca | Aug 19, 2026 | 11 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
- J•••• L•• G••••• to A••••••• A••••••• • S••••••••• L••Dec 21, 2021 · RIA to RIA
Joined, latest
- E••••• C•••••••• A••••• from B•••••• • A••••••••• L••Jan 18, 2022 · Other
- J•••• L•• G••••• from N••••••••• M••••• I••••••••• S•••••••••Jan 22, 2020 · Other
- D••••• C•••••• G•••••••• from P•• S••••••••• L••Dec 6, 2019 · RIA to RIA
- D•••••• H•••• D•••• from P•• S••••••••• L••Dec 6, 2019 · RIA to RIA
- B•••• D••••• G•••••••• from P•• S••••••••• L••Dec 6, 2019 · RIA to RIA
- J•••• R•••••• P•••••• from P•• S••••••••• L••Dec 6, 2019 · RIA to RIA
- G•••••• A•••• P••••••• from P•• S••••••••• L••Dec 6, 2019 · RIA to RIA
- M•••••• L••• R•••••• from P•• S••••••••• L••Dec 6, 2019 · RIA to RIA
- K•••• L• R•••••• from P•• S••••••••• L••Nov 21, 2019 · RIA to RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 6 joined from P•• S••••••••• L••Dec 31, 2019 · San Jose, Ca · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P••••••• J••••• R•••••• · President & Ceocontrolsince 08/2019 · owns 75% or more
- R••••••• K••••• L• · Cco/Cfocontrolsince 08/2019 · owns 10% to 25%
Related persons
Schedule D 7.A
- G•••••• A•••• P•••••••insurancen
- M•••••• L• R••••••investment companyy
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| El Dorado Hills, Ca · principal | 11 | 2 | 0 | ||
| San Jose, Ca | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- San Jose, CA1 employees
What changed
consecutive filings, newest first
- Accounts · 1,346 to 1,430Nov 18, 2025 to Mar 20, 2026
- Charity clients · unset to 0.0Nov 18, 2025 to Mar 20, 2026
- Corporate clients · 5.0 to unsetNov 18, 2025 to Mar 20, 2026
- HNW clients · 162 to 161Nov 18, 2025 to Mar 20, 2026
- Individual clients · 383 to 394Nov 18, 2025 to Mar 20, 2026
- Pension plan clients · 67 to 70Nov 18, 2025 to Mar 20, 2026
- Pooled vehicle clients · unset to 0.0Nov 18, 2025 to Mar 20, 2026
- Employees · 16 to 15Nov 18, 2025 to Mar 20, 2026
- Insurance-licensed employees · 11 to 0Nov 18, 2025 to Mar 20, 2026
- State-registered IARs · 0 to 11Nov 18, 2025 to Mar 20, 2026
- Discretionary RAUM · $810M to $926MNov 18, 2025 to Mar 20, 2026
- HNW RAUM · $372M to $439MNov 18, 2025 to Mar 20, 2026
- Individual RAUM · $103M to $114MNov 18, 2025 to Mar 20, 2026
- Pension RAUM · $326M to $369MNov 18, 2025 to Mar 20, 2026
- Pooled vehicle RAUM · unset to 0.0Nov 18, 2025 to Mar 20, 2026
- RAUM · $810M to $926MNov 18, 2025 to Mar 20, 2026
- Wrap assets (manager) · 0.0 to unsetNov 18, 2025 to Mar 20, 2026
- Wrap assets (sponsor) · 0.0 to unsetNov 18, 2025 to Mar 20, 2026
- Accounts · 1,294 to 1,346Mar 27, 2024 to Mar 11, 2025
- HNW clients · 145 to 162Mar 27, 2024 to Mar 11, 2025
- Individual clients · 406 to 383Mar 27, 2024 to Mar 11, 2025
- Pension plan clients · 68 to 67Mar 27, 2024 to Mar 11, 2025
- Employees · 15 to 16Mar 27, 2024 to Mar 11, 2025
- Financial planning clients · 1-10 to 1-10Mar 27, 2024 to Mar 11, 2025
- Discretionary RAUM · $705M to $810MMar 27, 2024 to Mar 11, 2025
- HNW RAUM · $316M to $372MMar 27, 2024 to Mar 11, 2025
- Individual RAUM · $105M to $103MMar 27, 2024 to Mar 11, 2025
- Pension RAUM · $277M to $326MMar 27, 2024 to Mar 11, 2025
- RAUM · $705M to $810MMar 27, 2024 to Mar 11, 2025
- Accounts · 1,223 to 1,294Sep 26, 2023 to Mar 27, 2024
- Corporate clients · 3 to 5Sep 26, 2023 to Mar 27, 2024
- HNW clients · 116 to 145Sep 26, 2023 to Mar 27, 2024
- Individual clients · 426 to 406Sep 26, 2023 to Mar 27, 2024
- Pension plan clients · 70 to 68Sep 26, 2023 to Mar 27, 2024
- Assets in custody · 131225600.0 to unsetSep 26, 2023 to Mar 27, 2024
- Custody of client assets · true to falseSep 26, 2023 to Mar 27, 2024
- Insurance-licensed employees · 0 to 11Sep 26, 2023 to Mar 27, 2024
- Discretionary RAUM · $578M to $705MSep 26, 2023 to Mar 27, 2024
- HNW RAUM · $275M to $316MSep 26, 2023 to Mar 27, 2024
- Individual RAUM · $86.1M to $105MSep 26, 2023 to Mar 27, 2024
Signals
3 dated events
- S•••••••• F•••••••• S••••••••• I••• reported 11 state-registered advisory representatives, up from 0 (2025-11-18 to 2026-03-20)Mar 20, 2026 · Advisor headcount change · derived
- S•••••••• F•••••••• S••••••••• I••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Oct 17, 2019 · Succession (Item 4) · fact
- S•••••••• F•••••••• S••••••••• I••• filed its initial SEC registration (Form ADV)Oct 17, 2019 · 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
- 408-871-1590reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 916-932-1219reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- statherosfinancial.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 916-932-1219reportedpublic record, Form ADV, Jun 2, 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
- $84.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026