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

V•••••• F•••••••• G••••

Independent wealth managerAuburn, CaliforniaCRD 309675SEC 801-136160websiteIAPD
Legal name H••••• F•••••••• S•••••••• I•••
Latest filing May 15, 2026
First filing on the tape May 15, 2026 · 1 filings
SEC status approved since May 14, 2026
RAUM
$119M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$116M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$29.6M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
1 filings and snapshots on the tape
RAUM: $119M
HNW client RAUM: $76.1M
State-registered IARs (5.B.3): 4
Employees (5.A): 4
Private funds: no history
Practice profile
derived from the filing of May 15, 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
RAUM per advisor
$29.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
110derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$691,818derivedHNW RAUM over HNW clients
Average account
$146,782derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.0derived2 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 assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, educational seminarsreportedItem 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$76.1M64%
  • Individuals$40.3M34%
  • Corporations and businesses$2.2M1.9%
Individual clients
331reported
HNW clients
110reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
808reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
private_client_share=0.98 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
J••• R••• H•••••Auburn, CaJul 30, 202017 y1
K•••••• S••••• K••••••Springfield, Or Jan 2, 202512 y2
T•••••• A•••• S•••••Auburn, CaFeb 6, 202515 y1
M••• C•••••• C••••••••Auburn, CaOct 7, 202531 y1
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
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      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
      Auburn, Ca · principal410
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      One filing, no change to show.
      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
      Business phone
      530-906-1948reportedpublished by the firm, firm site, Sep 16, 2026
      Website
      vantageauburn.comreportedpublic record, Form ADV, Sep 18, 2026
      Principal office phone
      530-906-1948reportedpublic record, Form ADV, May 15, 2026
      Contact form
      vantageauburn.com/contact-usreportedpublished by the firm, firm site, Sep 16, 2026
      Team page
      vantageauburn.com/advisorsreportedpublished 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
      $29.6Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026