DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

SEC-registered adviser

C••••• A•••••••

Independent wealth managerSan Francisco, CaliforniaCRD 311539SEC 801-129790website IAPD

Legal name C••••••••• L••

Latest filing May 14, 2026

First filing on the tape Oct 30, 2020 · 14 filings

SEC status approved since Mar 28, 2024

RAUM

$152M

reported, Item 5.F

Discretionary

82%

of RAUM

Private clients

94%

$142M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$76.0M

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

14 filings and snapshots on the tape

RAUM$152M as of May 14, 2026

Mar 29, 2021$67.8M then

HNW client RAUM$123M as of May 14, 2026

Mar 29, 2021$46.5M then

State-registered IARs (5.B.3)2 as of May 14, 2026

Mar 29, 20211 then

Employees (5.A)2 as of May 14, 2026

Mar 29, 20212 then

Private funds: no history

RAUM +19% over the last fiscal yearIARs 1 to 2

Practice profile

derived from the filing of May 14, 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

RAUM per advisor: $76.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 42derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $3.4MderivedHNW RAUM over HNW clients
Average account: $405,333derivedRAUM over accounts (5.F.2.f)
Discretionary: 82%derivedof RAUM
Institutional: 6.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.0derivedItem 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: +100%derivedItem 5.B.3 between annual amendments
Client growth, one year: +2.4%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: $73.7M, 64 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)
has custody of client securities (9.A.1.b)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$123M81%
Individuals$19.1M13%
Insurance companies$5.5M3.6%
Pension and profit-sharing plans$4.1M2.7%

Individual clients: 48reported
HNW clients: 36reported
Pension plan clients: 5reported
Charitable clients: n/areported
Accounts: 375reported
Financial planning clients: 1-10reported
Wrap fee programs: noreported
Custody of client assets: $73.7M for 64 clientsreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: private_client_share=0.94 fund_share=0.0 institutional_share=0.06 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
V••••••• B•••••••• C••••••••Certified Financial Planner	San Francisco, Ca	Dec 1, 2020	23 y	4
L••• M•••••• S•••••••	Hayward, Ca	Sep 11, 2026	19 y	3

Advisor movement

0 left, 1 joined in 12 months

net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months

Left, latest

none on the tape

Joined, latest

L••• M•••••• S••••••• from C••••• F•••••••• A•••••••
Sep 11, 2026 · Other
V••••••• B•••••••• C•••••••• from S•••••••• F••••••••• I•••
Dec 1, 2020 · Affiliated broker-dealer or bank to a newly registered adviser

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

C••••••••• V•••••••• B•••••••• · Managing Membercontrol
since 10/2020 · owns 75% or more
S•••••••• L•••• M•••••• · Chief Compliance Officercontrol
since 11/2021 · owns less than 5%

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
San Francisco, Ca · principal	2	1	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Assets in custody · $30.6M to $73.7M
Mar 2, 2026 to May 14, 2026
Accounts · 364 to 375
Sep 17, 2025 to Mar 2, 2026
Advisory employees · 1 to 2
Sep 17, 2025 to Mar 2, 2026
HNW clients · 33 to 36
Sep 17, 2025 to Mar 2, 2026
Individual clients · 49 to 48
Sep 17, 2025 to Mar 2, 2026
Pension plan clients · unset to 5.0
Sep 17, 2025 to Mar 2, 2026
Assets in custody · $25.0M to $30.6M
Sep 17, 2025 to Mar 2, 2026
Financial planning clients · 0 to 1-10
Sep 17, 2025 to Mar 2, 2026
State-registered IARs · 1 to 2
Sep 17, 2025 to Mar 2, 2026
Discretionary RAUM · $101M to $124M
Sep 17, 2025 to Mar 2, 2026
HNW RAUM · $101M to $123M
Sep 17, 2025 to Mar 2, 2026
Individual RAUM · $18.0M to $19.1M
Sep 17, 2025 to Mar 2, 2026
Non-discretionary RAUM · $26.5M to $28.0M
Sep 17, 2025 to Mar 2, 2026
Pension RAUM · $3.5M to $4.1M
Sep 17, 2025 to Mar 2, 2026
RAUM · $128M to $152M
Sep 17, 2025 to Mar 2, 2026
Financial planning clients · 0 to 0
Mar 12, 2025 to Sep 17, 2025
Accounts · 363 to 364
Aug 21, 2024 to Mar 12, 2025
HNW clients · 28 to 33
Aug 21, 2024 to Mar 12, 2025
Individual clients · 51 to 49
Aug 21, 2024 to Mar 12, 2025
Pension plan clients · 5.0 to unset
Aug 21, 2024 to Mar 12, 2025
Assets in custody · $24.5M to $25.0M
Aug 21, 2024 to Mar 12, 2025
Financial planning clients · 1-10 to 0
Aug 21, 2024 to Mar 12, 2025
Discretionary RAUM · $78.1M to $101M
Aug 21, 2024 to Mar 12, 2025
HNW RAUM · $79.5M to $101M
Aug 21, 2024 to Mar 12, 2025
Individual RAUM · $13.3M to $18.0M
Aug 21, 2024 to Mar 12, 2025
Non-discretionary RAUM · $22.3M to $26.5M
Aug 21, 2024 to Mar 12, 2025
Pension RAUM · $2.8M to $3.5M
Aug 21, 2024 to Mar 12, 2025
RAUM · $100M to $128M
Aug 21, 2024 to Mar 12, 2025
Accounts · 249 to 363
May 19, 2021 to Feb 27, 2024
Advisory activities · 5 to 4
May 19, 2021 to Feb 27, 2024
HNW clients · 20 to 28
May 19, 2021 to Feb 27, 2024
Individual clients · 57 to 51
May 19, 2021 to Feb 27, 2024
Pension plan clients · unset to 5.0
May 19, 2021 to Feb 27, 2024
Assets in custody · $7.0M to $24.5M
May 19, 2021 to Feb 27, 2024
Discretionary RAUM · $55.7M to $78.1M
May 19, 2021 to Feb 27, 2024
HNW RAUM · $46.5M to $79.5M
May 19, 2021 to Feb 27, 2024
Individual RAUM · $18.7M to $13.3M
May 19, 2021 to Feb 27, 2024
Non-discretionary RAUM · $12.1M to $22.3M
May 19, 2021 to Feb 27, 2024
Pension RAUM · $2.6M to $2.8M
May 19, 2021 to Feb 27, 2024
RAUM · $67.8M to $100M
May 19, 2021 to Feb 27, 2024

Signals

2 dated events

C••••• A••••••• filed its initial SEC registration (Form ADV)
Feb 27, 2024 · First SEC registration · fact
Mireles Lisa Shinhira (Chief Compliance Officer) appeared on Schedule A of C••••• A•••••••
Feb 27, 2024 · Control person joined · 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
Business phone: 415-818-9005reportedpublished by the firm, firm site, Sep 16, 2026
Website: c•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
Principal office phone: 415-818-9005reportedpublic record, Form ADV, May 14, 2026
Team page: c•••••••••.comreportedpublished 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: $76.0Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026