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
R•••••• P••• A•••••••
Legal name R•••••• P••• A•••••••• L••
Latest filing Mar 19, 2026
First filing on the tape May 26, 2020 · 15 filings
SEC status approved since Jun 16, 2023
RAUM
$170M
reported, Item 5.F
Discretionary
92%
of RAUM
Private clients
100%
$170M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$85.2M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$170M as of Mar 19, 2026
Mar 21, 2024$121M then
HNW client RAUM$148M as of Mar 19, 2026
Mar 21, 2024$100M then
State-registered IARs (5.B.3)2 as of Mar 19, 2026
Mar 21, 20243 then
Employees (5.A)3 as of Mar 19, 2026
Mar 21, 20244 then
Private funds: no history
RAUM +19% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 19, 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 small t••• · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $85.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 61derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $569,683derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 92%derivedof RAUM
- Institutional
- 0.4%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
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $115M, 168 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$148M87%
- Individuals$21.8M13%
- Charitable organizations$712,8080.4%
- Individual clients
- 61reported
- HNW clients
- 60reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 299reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $115M for 168 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B••••••• T••••• P••••••••Certified Financial Planner | R•••••• City, Ca | Jun 29, 2020 | 22 y | 2 |
| D•••• M•••••• S••••Chartered Financial Analyst | R•••••• City, Ca | Jun 29, 2020 | 21 y | 2 |
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 headcount1 left over 36 months
Left, latest
- D•••••• A•• P••• to T••• H•••••• L••Jul 11, 2024 · RIA to RIA
Joined, latest
- D•••••• A•• P••• from J•• W••••• M••••••••• I•••Sep 25, 2020 · Other
- B••••••• T••••• P•••••••• from L•• F•••••••• L••Jun 29, 2020 · Affiliated broker-dealer or bank to a newly registered adviser
- D•••• M•••••• S•••• from L•• F•••••••• L••Jun 29, 2020 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from L•• F•••••••• L••Jul 2, 2020 · R•••••• City, Ca · t••• lift out
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P••••••••• B•••••••• T••••• · Co-Founder & Chief Compliance Officercontrolsince 06/2020 · owns 50% to 75%
- S••••• D••••• M•••••• · Co-Foundercontrolsince 06/2020 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| R•••••• City, Ca · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 270 to 299Mar 28, 2025 to Mar 19, 2026
- HNW clients · 51 to 60Mar 28, 2025 to Mar 19, 2026
- Pension plan clients · 4.0 to unsetMar 28, 2025 to Mar 19, 2026
- Assets in custody · $67.1M to $115MMar 28, 2025 to Mar 19, 2026
- Employees · 2 to 3Mar 28, 2025 to Mar 19, 2026
- Discretionary RAUM · $137M to $157MMar 28, 2025 to Mar 19, 2026
- HNW RAUM · $122M to $148MMar 28, 2025 to Mar 19, 2026
- Individual RAUM · $19.6M to $21.8MMar 28, 2025 to Mar 19, 2026
- Non-discretionary RAUM · $6.1M to $13.4MMar 28, 2025 to Mar 19, 2026
- Pension RAUM · 886534.0 to unsetMar 28, 2025 to Mar 19, 2026
- RAUM · $143M to $170MMar 28, 2025 to Mar 19, 2026
- HNW clients · 54 to 51Jul 16, 2024 to Mar 28, 2025
- Pension plan clients · unset to 4.0Jul 16, 2024 to Mar 28, 2025
- Assets in custody · $50.4M to $67.1MJul 16, 2024 to Mar 28, 2025
- Financial planning clients · 0 to 0Jul 16, 2024 to Mar 28, 2025
- Discretionary RAUM · $116M to $137MJul 16, 2024 to Mar 28, 2025
- HNW RAUM · $100M to $122MJul 16, 2024 to Mar 28, 2025
- Individual RAUM · $20.5M to $19.6MJul 16, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $5.1M to $6.1MJul 16, 2024 to Mar 28, 2025
- Pension RAUM · unset to 886534.0Jul 16, 2024 to Mar 28, 2025
- RAUM · $121M to $143MJul 16, 2024 to Mar 28, 2025
- Advisory employees · 3 to 2Mar 27, 2024 to Jul 16, 2024
- Employees · 4 to 2Mar 27, 2024 to Jul 16, 2024
- State-registered IARs · 3 to 2Mar 27, 2024 to Jul 16, 2024
- Accounts · 267 to 270Mar 21, 2024 to Mar 27, 2024
- Discretionary RAUM · $121M to $116MMar 21, 2024 to Mar 27, 2024
- Non-discretionary RAUM · $0 to $5.1MMar 21, 2024 to Mar 27, 2024
- Accounts · 246 to 267May 19, 2023 to Mar 21, 2024
- HNW clients · 29 to 54May 19, 2023 to Mar 21, 2024
- Individual clients · 74 to 61May 19, 2023 to Mar 21, 2024
- Assets in custody · $30.0M to $50.4MMay 19, 2023 to Mar 21, 2024
- Employees · 3 to 4May 19, 2023 to Mar 21, 2024
- Discretionary RAUM · $110M to $121MMay 19, 2023 to Mar 21, 2024
- HNW RAUM · $83.3M to $100MMay 19, 2023 to Mar 21, 2024
- Individual RAUM · $26.0M to $20.5MMay 19, 2023 to Mar 21, 2024
- RAUM · $110M to $121MMay 19, 2023 to Mar 21, 2024
- Accounts · 202 to 246Dec 16, 2020 to May 19, 2023
- Charity clients · unset to 1.0Dec 16, 2020 to May 19, 2023
- HNW clients · 37 to 29Dec 16, 2020 to May 19, 2023
- Individual clients · 49 to 74Dec 16, 2020 to May 19, 2023
Signals
3 dated events
- D•••••• A•• P••• left R•••••• P••• A••••••• for T••• H•••••• L•• (registered 2024-07-03)Jul 11, 2024 · Advisor changed firm · fact
- Ann Deborah Peri-Clendenin (Managing Member & Iar) appeared on Schedule A of R•••••• P••• A•••••••Sep 24, 2020 · Control person joined · fact
- R•••••• P••• A••••••• filed its initial SEC registration (Form ADV)May 26, 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
- Business email
- info@redwoodparkadvisors.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 866-579-8808reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 650-241-1941reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 650-779-5822reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- redwoodparkadvisors.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 866-579-8808reportedpublic record, Form ADV, Mar 19, 2026
- Contact form
- redwoodparkadvisors.com/contact-usreportedpublished by the firm, firm site, Sep 16, 2026
- t••• profile url
- redwoodparkadvisors.com/our-teamreportedpublished by the firm, firm site, Sep 16, 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
- $85.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026