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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

SEC-registered adviser

W••• S•••••• A••••••• I•••

Independent wealth managerLarkspur, CaliforniaCRD 306501SEC 801-134774IAPD
Latest filing Feb 13, 2026
First filing on the tape Oct 17, 2025 · 2 filings
SEC status approved since Nov 25, 2025
RAUM
$131M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$131M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$65.7M
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$131M as of Feb 13, 2026
Oct 17, 2025$138M then
HNW client RAUM$130M as of Feb 13, 2026
Oct 17, 2025$137M then
State-registered IARs (5.B.3)1 as of Feb 13, 2026
Oct 17, 20251 then
Employees (5.A)3 as of Feb 13, 2026
Oct 17, 20253 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Feb 13, 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
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
RAUM per advisor
$65.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$8.7MderivedHNW RAUM over HNW clients
Average account
$2.8MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%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
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 assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$130M99%
  • Individuals$1.1M0.8%
Individual clients
n/areported
HNW clients
15reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
47reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
noreported
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=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
N•••••••• T••••• C••••••Brutus, Mi Mar 29, 202258 y2
P••••• R•••••• R•••Larkspur, CaApr 17, 202516 y0
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
    Every departureEvery arrival
    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
    Larkspur, Ca · principal200
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 46 to 47
      Oct 17, 2025 to Feb 13, 2026
    • HNW clients · 16 to 15
      Oct 17, 2025 to Feb 13, 2026
    • Discretionary RAUM · $138M to $131M
      Oct 17, 2025 to Feb 13, 2026
    • HNW RAUM · $137M to $130M
      Oct 17, 2025 to Feb 13, 2026
    • Individual RAUM · $800,513 to $1.1M
      Oct 17, 2025 to Feb 13, 2026
    • RAUM · $138M to $131M
      Oct 17, 2025 to Feb 13, 2026
    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
    Principal office phone
    415-497-8564reportedpublic record, Form ADV, Feb 13, 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
    $65.7Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026