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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Latest filing Mar 31, 2026
First filing on the tape Dec 14, 2020 · 10 filings
SEC status approved since Jan 28, 2021
RAUM
$52,050
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$52,050
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$52,050 as of Mar 31, 2026
Mar 31, 2023$19,500 then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 31, 2026
Mar 30, 20221 then
Employees (5.A)2 as of Mar 31, 2026
Mar 30, 20225 then
Private funds: no history
RAUM +13% over the last fiscal year+39% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $52,050derivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $52,050derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 100%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$52,050100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- 1reported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=1.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| I••••• E••• A••••• | San Francisco, Ca | Jan 1, 2026 | 10 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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
- I••••• E••• A••••• from S•••• C••••••• L•Jan 1, 2026 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••• E••••• D•••••• · Principal And Chief Operating Officercontrolsince 12/2020 · owns less than 5%
- A•••••• I•••••• E••• · President And Chief Compliance Officercontrolsince 12/2020 · owns less than 5%
- A•••••• E••••• D•••••• · Shareholdercontrolsince 01/2022 · owns 50% to 75% of A••••• I•••
- A•••••• I•••••• E••• · Shareholdercontrolsince 01/2022 · owns 50% to 75% of A••••• I•••
Entity owners
- A••••• I••• · Sole Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 2 to 1Mar 28, 2025 to Mar 31, 2026
- Pension plan clients · 2 to 1Mar 28, 2025 to Mar 31, 2026
- Employees · 3 to 2Mar 28, 2025 to Mar 31, 2026
- Discretionary RAUM · $45,953 to $52,050Mar 28, 2025 to Mar 31, 2026
- Pension RAUM · $45,953 to $52,050Mar 28, 2025 to Mar 31, 2026
- RAUM · $45,953 to $52,050Mar 28, 2025 to Mar 31, 2026
- Accounts · 9 to 2Mar 29, 2024 to Mar 28, 2025
- Pension plan clients · 9 to 2Mar 29, 2024 to Mar 28, 2025
- Employees · 4 to 3Mar 29, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 29, 2024 to Mar 28, 2025
- HQ city · unset to Mar 29, 2024 to Mar 28, 2025
- HQ state · unset to Mar 29, 2024 to Mar 28, 2025
- State-registered IARs · 2 to 1Mar 29, 2024 to Mar 28, 2025
- Discretionary RAUM · $495,532 to $45,953Mar 29, 2024 to Mar 28, 2025
- Pension RAUM · $495,532 to $45,953Mar 29, 2024 to Mar 28, 2025
- RAUM · $495,532 to $45,953Mar 29, 2024 to Mar 28, 2025
- Accounts · 1 to 9Mar 31, 2023 to Mar 29, 2024
- Advisory employees · 2 to 1Mar 31, 2023 to Mar 29, 2024
- Pension plan clients · 1 to 9Mar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $19,500 to $495,532Mar 31, 2023 to Mar 29, 2024
- Pension RAUM · $19,500 to $495,532Mar 31, 2023 to Mar 29, 2024
- RAUM · $19,500 to $495,532Mar 31, 2023 to Mar 29, 2024
- Accounts · unset to 1.0Nov 4, 2022 to Mar 31, 2023
- Advisory employees · 1 to 2Nov 4, 2022 to Mar 31, 2023
- Business name · A••••• I••• to A•••• A••••••• L••Nov 4, 2022 to Mar 31, 2023
- Pension plan clients · unset to 1.0Nov 4, 2022 to Mar 31, 2023
- State-registered IARs · 1 to 2Nov 4, 2022 to Mar 31, 2023
- Legal name · A••••• I••• to A•••• A••••••• L••Nov 4, 2022 to Mar 31, 2023
- Discretionary RAUM · unset to 19500.0Nov 4, 2022 to Mar 31, 2023
- Non-discretionary RAUM · unset to 0.0Nov 4, 2022 to Mar 31, 2023
- Pension RAUM · unset to 19500.0Nov 4, 2022 to Mar 31, 2023
- RAUM · unset to 19500.0Nov 4, 2022 to Mar 31, 2023
- Succession · true to falseNov 4, 2022 to Mar 31, 2023
- Wrap assets (manager) · 0.0 to unsetNov 4, 2022 to Mar 31, 2023
- Wrap assets (sponsor) · 0.0 to unsetNov 4, 2022 to Mar 31, 2023
- Employees · 5 to 4Mar 30, 2022 to Nov 4, 2022
- Organization form · Corporation to Limited Liability CompanyMar 30, 2022 to Nov 4, 2022
- Succession · false to trueMar 30, 2022 to Nov 4, 2022
- Accounts · 0.0 to unsetNov 5, 2021 to Mar 30, 2022
- Employees · 2 to 5Nov 5, 2021 to Mar 30, 2022
Signals
2 dated events
- A••••• I••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Nov 4, 2022 · Succession (Item 4) · fact
- A•••• L•• filed its initial SEC registration (Form ADV)Dec 14, 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
- Firm profile
- linkedin.com/company/arnie401k/?viewAsMember=truereportedpublic record, Form ADV, Sep 19, 2026
- Website
- a••••.coreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 415-513-2298reportedpublic record, Form ADV, Mar 31, 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
- Institutional managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $52,050derivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026