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
C•••• O•• A•••••••
Legal name C•••• O•• A•••••••• L••
Latest filing Feb 10, 2026
First filing on the tape Jun 9, 2023 · 4 filings
SEC status approved since Jul 12, 2023
RAUM
$236M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$236M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$118M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$236M as of Feb 10, 2026
Feb 16, 2024$185M then
HNW client RAUM$228M as of Feb 10, 2026
Feb 16, 2024$178M then
State-registered IARs (5.B.3)2 as of Feb 10, 2026
Feb 16, 20242 then
Employees (5.A)2 as of Feb 10, 2026
Feb 16, 20242 then
Private funds: no history
RAUM +7.3% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Feb 10, 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
- $118MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 27derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $7.6MderivedHNW RAUM over HNW clients
- Average account
- $3.2MderivedRAUM 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
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +10%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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$228M97%
- Individuals$7.5M3.2%
- Individual clients
- 24reported
- HNW clients
- 30reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 73reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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 |
|---|---|---|---|---|
| A••••• W••••• D••••Chartered Financial Analyst | Piedmont, Ca | Aug 17, 2020 | 11 y | 0 |
| C••••••••• V•••••• D•••• | Piedmont, Ca | Aug 17, 2020 | 39 y | 0 |
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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••• A•••••• W••••• · Co-Founder And Managing Membercontrolsince 05/2020 · owns 50% to 75%
- D••••• C••••••••• V•••••• · Chief Compliance Officer, Co-Founder And Managing Membercontrolsince 05/2020 · 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 |
|---|---|---|---|---|---|
| Piedmont, Ca | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- unusually large average HNW clientStatic outlier · filing Feb 10, 2026HNW RAUM per HNW client of $7,603,288 against a peer median of $2,402,920 (4942 comparable advisers, 98.0th percentile, 3.5 robust deviations)peers: independent wealth managers, $100M to $500M (4,942) · 98% percentile
What changed
consecutive filings, newest first
- Accounts · 65 to 73Feb 26, 2025 to Feb 10, 2026
- HNW clients · 29 to 30Feb 26, 2025 to Feb 10, 2026
- Individual clients · 20 to 24Feb 26, 2025 to Feb 10, 2026
- Discretionary RAUM · $220M to $236MFeb 26, 2025 to Feb 10, 2026
- HNW RAUM · $213M to $228MFeb 26, 2025 to Feb 10, 2026
- Individual RAUM · $6.9M to $7.5MFeb 26, 2025 to Feb 10, 2026
- RAUM · $220M to $236MFeb 26, 2025 to Feb 10, 2026
- Accounts · 57 to 65Feb 16, 2024 to Feb 26, 2025
- HNW clients · 24 to 29Feb 16, 2024 to Feb 26, 2025
- Individual clients · 21 to 20Feb 16, 2024 to Feb 26, 2025
- Financial planning clients · unset to Feb 16, 2024 to Feb 26, 2025
- HQ city · unset to Feb 16, 2024 to Feb 26, 2025
- HQ state · unset to Feb 16, 2024 to Feb 26, 2025
- Discretionary RAUM · $185M to $220MFeb 16, 2024 to Feb 26, 2025
- HNW RAUM · $178M to $213MFeb 16, 2024 to Feb 26, 2025
- Individual RAUM · $7.3M to $6.9MFeb 16, 2024 to Feb 26, 2025
- RAUM · $185M to $220MFeb 16, 2024 to Feb 26, 2025
- Accounts · 40 to 57Jun 9, 2023 to Feb 16, 2024
- Charity clients · unset to 0.0Jun 9, 2023 to Feb 16, 2024
- Corporate clients · unset to 0.0Jun 9, 2023 to Feb 16, 2024
- HNW clients · 17 to 24Jun 9, 2023 to Feb 16, 2024
- Individual clients · 11 to 21Jun 9, 2023 to Feb 16, 2024
- Pension plan clients · unset to 0.0Jun 9, 2023 to Feb 16, 2024
- Pooled vehicle clients · unset to 0.0Jun 9, 2023 to Feb 16, 2024
- Discretionary RAUM · $133M to $185MJun 9, 2023 to Feb 16, 2024
- HNW RAUM · $130M to $178MJun 9, 2023 to Feb 16, 2024
- Individual RAUM · $3.2M to $7.3MJun 9, 2023 to Feb 16, 2024
- Pension RAUM · unset to 0.0Jun 9, 2023 to Feb 16, 2024
- Pooled vehicle RAUM · unset to 0.0Jun 9, 2023 to Feb 16, 2024
- RAUM · $133M to $185MJun 9, 2023 to Feb 16, 2024
Signals
1 dated events
- C•••• O•• A••••••• filed its initial SEC registration (Form ADV)Jun 9, 2023 · 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
- i•••@c•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Website
- c•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 510-244-4685reportedpublic record, Form ADV, Feb 10, 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
- $118Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026