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•••••• W••••• A•••••••• L••
Latest filing Mar 17, 2026
First filing on the tape May 15, 2020 · 17 filings
SEC status approved since Jun 15, 2020
RAUM
$446M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
91%
$405M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$149M
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$446M as of Mar 17, 2026
Mar 3, 2021$225M then
HNW client RAUM$397M as of Mar 17, 2026
Mar 3, 2021$211M then
State-registered IARs (5.B.3)3 as of Mar 17, 2026
Mar 3, 20211 then
Employees (5.A)6 as of Mar 17, 2026
Mar 3, 20214 then
Private funds: no history
RAUM +16% over the last fiscal year+21% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 17, 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
- RAUM per advisor
- $149MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 49derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $991,098derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.6%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
- $88.9M, 50 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$397M89%
- Corporations and businesses$20.6M4.6%
- Pension and profit-sharing plans$12.0M2.7%
- Individuals$8.4M1.9%
- Other investment advisers$8.3M1.9%
- Individual clients
- 20reported
- HNW clients
- 126reported
- Pension plan clients
- 1reported
- Charitable clients
- 0reported
- Accounts
- 450reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $88.9M for 50 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.91 fund_share=0.02 institutional_share=0.03 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 |
|---|---|---|---|---|
| B•••• P•••••• R••••••Chartered Financial Analyst | Menlo Park, Ca | Jan 29, 2021 | 23 y | 2 |
| S•••••• M•••• H•••••Certified Financial Planner | Park City, Ut | Jul 7, 2021 | 10 y | 0 |
| R••• W•••••• W••••Chartered Financial Analyst | Menlo Park, Ca | Jul 23, 2021 | 12 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
- R••• W•••••• W•••• from N•••••••• A•••• M•••••••••Jul 23, 2021 · RIA to RIA
- B•••• P•••••• R•••••• from N••••• C•••••• M••••••••• L••Jan 29, 2021 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R••••••• B••••• P•••••• · Managing Member & Chief Compliance Officercontrolsince 05/2020 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Menlo Park, Ca · principal | 3 | 0 | 0 | ||
| Park City, Ut | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Park City, UT2 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- very high RAUM per advisorStatic outlier · filing Mar 17, 2026RAUM per registered advisor of $148,664,697 against a peer median of $55,731,856 (3254 comparable advisers, 99.0th percentile, 3.2 robust deviations)peers: independent wealth managers, $100M to $500M (3,254) · 99% percentile
What changed
consecutive filings, newest first
- Accounts · 433 to 450Mar 25, 2025 to Mar 17, 2026
- Advisory employees · 6 to 4Mar 25, 2025 to Mar 17, 2026
- Corporate clients · 0 to 1Mar 25, 2025 to Mar 17, 2026
- HNW clients · 118 to 126Mar 25, 2025 to Mar 17, 2026
- Individual clients · 19 to 20Mar 25, 2025 to Mar 17, 2026
- Assets in custody · $47.3M to $88.9MMar 25, 2025 to Mar 17, 2026
- Discretionary RAUM · $385M to $446MMar 25, 2025 to Mar 17, 2026
- HNW RAUM · $363M to $397MMar 25, 2025 to Mar 17, 2026
- Individual RAUM · $6.3M to $8.4MMar 25, 2025 to Mar 17, 2026
- Pension RAUM · $10.2M to $12.0MMar 25, 2025 to Mar 17, 2026
- RAUM · $385M to $446MMar 25, 2025 to Mar 17, 2026
- Accounts · 367 to 433Mar 12, 2024 to Mar 25, 2025
- Corporate clients · 1 to 0Mar 12, 2024 to Mar 25, 2025
- HNW clients · 106 to 118Mar 12, 2024 to Mar 25, 2025
- Individual clients · 16 to 19Mar 12, 2024 to Mar 25, 2025
- Assets in custody · $8.5M to $47.3MMar 12, 2024 to Mar 25, 2025
- Financial planning clients · 0 to 0Mar 12, 2024 to Mar 25, 2025
- Discretionary RAUM · $306M to $385MMar 12, 2024 to Mar 25, 2025
- HNW RAUM · $289M to $363MMar 12, 2024 to Mar 25, 2025
- Individual RAUM · $4.9M to $6.3MMar 12, 2024 to Mar 25, 2025
- Pension RAUM · $8.8M to $10.2MMar 12, 2024 to Mar 25, 2025
- RAUM · $306M to $385MMar 12, 2024 to Mar 25, 2025
- Accounts · 341 to 367Mar 9, 2023 to Mar 12, 2024
- Advisory employees · 5 to 6Mar 9, 2023 to Mar 12, 2024
- Corporate clients · 0 to 1Mar 9, 2023 to Mar 12, 2024
- HNW clients · 102 to 106Mar 9, 2023 to Mar 12, 2024
- Individual clients · 9 to 16Mar 9, 2023 to Mar 12, 2024
- Assets in custody · unset to 8468870.0Mar 9, 2023 to Mar 12, 2024
- Custody of client assets · false to trueMar 9, 2023 to Mar 12, 2024
- Employees · 5 to 6Mar 9, 2023 to Mar 12, 2024
- Discretionary RAUM · $254M to $306MMar 9, 2023 to Mar 12, 2024
- HNW RAUM · $241M to $289MMar 9, 2023 to Mar 12, 2024
- Individual RAUM · $2.9M to $4.9MMar 9, 2023 to Mar 12, 2024
- Pension RAUM · $7.3M to $8.8MMar 9, 2023 to Mar 12, 2024
- RAUM · $254M to $306MMar 9, 2023 to Mar 12, 2024
- Accounts · 283 to 341Mar 15, 2022 to Mar 9, 2023
- Advisory employees · 4 to 5Mar 15, 2022 to Mar 9, 2023
- Advisory activities · 2 to 4Mar 15, 2022 to Mar 9, 2023
- Charity clients · 3 to 0Mar 15, 2022 to Mar 9, 2023
- Corporate clients · 2 to 0Mar 15, 2022 to Mar 9, 2023
Signals
1 dated events
- R•••••• W••••• A•••••••• L•• filed its initial SEC registration (Form ADV)May 15, 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
- ella@r•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- connor@r•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- sarah@r•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 435-213-4831reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 385-421-2100reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 206-838-3680reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/roberts-wareportedpublic record, Form ADV, Sep 18, 2026
- Website
- roberts-wa.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 650-240-2410reportedpublic record, Form ADV, Mar 17, 2026
- Contact form
- roberts-wa.com/contactreportedpublished by the firm, firm site, Sep 15, 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
- $149Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026