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
V•••• A•••••• G••••• L••
Latest filing Feb 6, 2026
First filing on the tape Aug 14, 2020 · 13 filings
SEC status approved since Sep 14, 2020
RAUM
$315M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
98%
$310M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$105M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$315M as of Feb 6, 2026
Feb 8, 2021$136M then
HNW client RAUM$167M as of Feb 6, 2026
Feb 8, 2021$100M then
State-registered IARs (5.B.3)3 as of Feb 6, 2026
Feb 8, 20213 then
Employees (5.A)5 as of Feb 6, 2026
Feb 8, 20215 then
Private funds: no history
RAUM +22% over the last fiscal year+29% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Feb 6, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $105MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 229derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $457,325derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 1.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.7%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Wrap fee program
- $313MreportedItem 5.I
- Custody
- $283M, 219 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$167M53%
- Individuals$143M45%
- Pension and profit-sharing plans$4.9M1.6%
- Individual clients
- 607reported
- HNW clients
- 79reported
- Pension plan clients
- 2reported
- Charitable clients
- n/areported
- Accounts
- 688reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- $3.4M sponsored, $310M managedreported
- Custody of client assets
- $283M for 219 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• W•••••• L•••Certified Financial Planner, Chartered Financial Consultant | Walnut Creek, Ca | Sep 14, 2020 | 18 y | 1 |
| S•••••• E•••• L•••Chartered Financial Consultant | Walnut Creek, Ca | Sep 15, 2020 | 11 y | 1 |
| W•••••• A••• L••• | Walnut Creek, Ca | Sep 15, 2020 | 17 y | 1 |
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
- W•••••• A••• L••• from C••••• A•••••• N••••••• L••Sep 15, 2020 · Affiliated broker-dealer or bank to a newly registered adviser
- S•••••• E•••• L••• from C•••••• S••••• • C••• I•••Sep 15, 2020 · Affiliated broker-dealer or bank to a newly registered adviser
- M•••••• W•••••• L••• from S••••••• F•••••••• S•••••••• I•••Sep 14, 2020 · Affiliated broker-dealer or bank to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L•••• M••••••• W•••••• · Managing Member & Chief Compliance Officercontrolsince 09/2020 · owns 25% to 50%
- L•••• W••••••• A••• · Managing Membercontrolsince 09/2020 · owns 25% to 50%
- L•••• S••••••• E•••• · Ownersince 07/2022 · owns 5% to 10%
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 |
|---|---|---|---|---|---|
| Walnut Creek, Ca · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 639 to 688Jan 27, 2025 to Feb 6, 2026
- HNW clients · 60 to 79Jan 27, 2025 to Feb 6, 2026
- Individual clients · 577 to 607Jan 27, 2025 to Feb 6, 2026
- Assets in custody · $244M to $283MJan 27, 2025 to Feb 6, 2026
- Employees · 6 to 5Jan 27, 2025 to Feb 6, 2026
- Financial planning clients · 11-25 to 1-10Jan 27, 2025 to Feb 6, 2026
- Discretionary RAUM · $256M to $313MJan 27, 2025 to Feb 6, 2026
- HNW RAUM · $125M to $167MJan 27, 2025 to Feb 6, 2026
- Individual RAUM · $129M to $143MJan 27, 2025 to Feb 6, 2026
- Non-discretionary RAUM · $1.6M to $1.9MJan 27, 2025 to Feb 6, 2026
- Pension RAUM · $4.0M to $4.9MJan 27, 2025 to Feb 6, 2026
- RAUM · $258M to $315MJan 27, 2025 to Feb 6, 2026
- Wrap assets (manager) · $254M to $310MJan 27, 2025 to Feb 6, 2026
- Wrap assets (sponsor) · $2.9M to $3.4MJan 27, 2025 to Feb 6, 2026
- Accounts · 585 to 639Mar 6, 2024 to Jan 27, 2025
- HNW clients · 82 to 60Mar 6, 2024 to Jan 27, 2025
- Individual clients · 501 to 577Mar 6, 2024 to Jan 27, 2025
- Assets in custody · $201M to $244MMar 6, 2024 to Jan 27, 2025
- Financial planning clients · 11-25 to 11-25Mar 6, 2024 to Jan 27, 2025
- Discretionary RAUM · $206M to $256MMar 6, 2024 to Jan 27, 2025
- HNW RAUM · $121M to $125MMar 6, 2024 to Jan 27, 2025
- Individual RAUM · $83.5M to $129MMar 6, 2024 to Jan 27, 2025
- Non-discretionary RAUM · $1.4M to $1.6MMar 6, 2024 to Jan 27, 2025
- Pension RAUM · $3.3M to $4.0MMar 6, 2024 to Jan 27, 2025
- RAUM · $208M to $258MMar 6, 2024 to Jan 27, 2025
- Wrap assets (manager) · $204M to $254MMar 6, 2024 to Jan 27, 2025
- Wrap assets (sponsor) · $2.7M to $2.9MMar 6, 2024 to Jan 27, 2025
- Accounts · 539 to 585Sep 7, 2023 to Mar 6, 2024
- HNW clients · 56 to 82Sep 7, 2023 to Mar 6, 2024
- Individual clients · 483 to 501Sep 7, 2023 to Mar 6, 2024
- Assets in custody · $72.4M to $201MSep 7, 2023 to Mar 6, 2024
- Employees · 5 to 6Sep 7, 2023 to Mar 6, 2024
- Discretionary RAUM · $148M to $206MSep 7, 2023 to Mar 6, 2024
- HNW RAUM · $72.3M to $121MSep 7, 2023 to Mar 6, 2024
- Individual RAUM · $72.9M to $83.5MSep 7, 2023 to Mar 6, 2024
- Non-discretionary RAUM · $0 to $1.4MSep 7, 2023 to Mar 6, 2024
- Pension RAUM · $2.5M to $3.3MSep 7, 2023 to Mar 6, 2024
- RAUM · $148M to $208MSep 7, 2023 to Mar 6, 2024
- Wrap assets (manager) · $0 to $204MSep 7, 2023 to Mar 6, 2024
- Wrap assets (sponsor) · $2.3M to $2.7MSep 7, 2023 to Mar 6, 2024
Signals
1 dated events
- V•••• A•••••• G••••• L•• filed its initial SEC registration (Form ADV)Aug 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
- Website
- v•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 925-476-4646reportedpublic record, Form ADV, Feb 6, 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
- $105Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026