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
I•••••• C•••••• M•••••••••
Legal name D••••• B••••••• I•••••• C••••••• L••
Latest filing Feb 13, 2026
First filing on the tape May 6, 2021 · 17 filings
SEC status approved since Jun 7, 2021
RAUM
$331M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$331M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$82.6M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$331M as of Feb 13, 2026
Mar 9, 2022$211M then
HNW client RAUM$259M as of Feb 13, 2026
Mar 9, 2022$129M then
State-registered IARs (5.B.3)4 as of Feb 13, 2026
Mar 9, 20222 then
Employees (5.A)5 as of Feb 13, 2026
Mar 9, 20223 then
Private funds: no history
RAUM +1.6% over the last fiscal year+14% a year over threeIARs 3 to 4
Practice profile
derived from the filing of Feb 13, 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
- RAUM per advisor
- $82.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 86derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $374,292derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +1.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -8.3%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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$259M78%
- Individuals$71.5M22%
- Individual clients
- 200reported
- HNW clients
- 143reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 883reported
- Financial planning clients
- 26-50reported
- 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=true related_bank=false bd_reps=1.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D••••• B•••••••Certified Financial Planner | Concord, Ca | Jun 7, 2021 | 14 y | 3 |
| S•••• A••• B••• | San R••••, Ca | Jan 13, 2025 | 41 y | 2 |
| P•••••• R••• | San R••••, Ca | Sep 30, 2025 | 14 y | 1 |
| M•••••• R•••• C•••••• | Concord, Ca | Jan 23, 2026 | 13 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 headcount1 left over 36 months
Left, latest
- L••••• T••••• B••••••• to B••••••• W••••• A•••••••• L••Mar 26, 2024 · RIA to RIA
Joined, latest
- S•••• A••• B••• from A••••••• W••••• A•••••••Jan 13, 2025 · Affiliated broker-dealer or bank to independent RIA
- L••••• T••••• B••••••• from F••••• I•••••••••Sep 7, 2023 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••••• D•••••• J•••• · Chief Compliance Officer, Owner, Managing Membercontrolsince 04/2021 · 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 |
|---|---|---|---|---|---|
| Concord, Ca · principal | 2 | 1 | 0 | ||
| San Ramon, Ca | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Individual clients · 231 to 200Sep 23, 2025 to Feb 13, 2026
- Accounts · 920 to 883Sep 23, 2025 to Feb 13, 2026
- Advisory employees · 3 to 4Sep 23, 2025 to Feb 13, 2026
- Financial planning clients · 11-25 to 26-50Sep 23, 2025 to Feb 13, 2026
- State-registered IARs · 3 to 4Sep 23, 2025 to Feb 13, 2026
- Discretionary RAUM · $325M to $331MSep 23, 2025 to Feb 13, 2026
- HNW RAUM · $238M to $259MSep 23, 2025 to Feb 13, 2026
- Individual RAUM · $87.6M to $71.5MSep 23, 2025 to Feb 13, 2026
- RAUM · $325M to $331MSep 23, 2025 to Feb 13, 2026
- Financial planning clients · 11-25 to 11-25Mar 18, 2025 to Jul 10, 2025
- HQ city · SAN RAMON to CONCORDMar 18, 2025 to Jul 10, 2025
- Accounts · 780 to 920Mar 26, 2024 to Mar 18, 2025
- Advisory employees · 4 to 3Mar 26, 2024 to Mar 18, 2025
- BD registered reps · 2 to 1Mar 26, 2024 to Mar 18, 2025
- HNW clients · 127 to 143Mar 26, 2024 to Mar 18, 2025
- Individual clients · 241 to 231Mar 26, 2024 to Mar 18, 2025
- Financial planning clients · 26-50 to 11-25Mar 26, 2024 to Mar 18, 2025
- State-registered IARs · 4 to 3Mar 26, 2024 to Mar 18, 2025
- Discretionary RAUM · $282M to $325MMar 26, 2024 to Mar 18, 2025
- HNW RAUM · $195M to $238MMar 26, 2024 to Mar 18, 2025
- Individual RAUM · $86.6M to $87.6MMar 26, 2024 to Mar 18, 2025
- RAUM · $282M to $325MMar 26, 2024 to Mar 18, 2025
- Accounts · 645 to 780Sep 12, 2023 to Mar 13, 2024
- Advisory employees · 2 to 4Sep 12, 2023 to Mar 13, 2024
- HNW clients · 110 to 127Sep 12, 2023 to Mar 13, 2024
- Individual clients · 224 to 241Sep 12, 2023 to Mar 13, 2024
- Employees · 3 to 5Sep 12, 2023 to Mar 13, 2024
- State-registered IARs · 2 to 4Sep 12, 2023 to Mar 13, 2024
- Discretionary RAUM · $221M to $282MSep 12, 2023 to Mar 13, 2024
- HNW RAUM · $148M to $195MSep 12, 2023 to Mar 13, 2024
- Individual RAUM · $72.5M to $86.6MSep 12, 2023 to Mar 13, 2024
- RAUM · $221M to $282MSep 12, 2023 to Mar 13, 2024
- Accounts · 549 to 645Mar 17, 2022 to Feb 9, 2023
- HNW clients · 87 to 110Mar 17, 2022 to Feb 9, 2023
- Individual clients · 219 to 224Mar 17, 2022 to Feb 9, 2023
- Discretionary RAUM · $211M to $221MMar 17, 2022 to Feb 9, 2023
- HNW RAUM · $129M to $148MMar 17, 2022 to Feb 9, 2023
- Individual RAUM · $81.4M to $72.5MMar 17, 2022 to Feb 9, 2023
- RAUM · $211M to $221MMar 17, 2022 to Feb 9, 2023
- Related broker-dealer · false to trueMar 17, 2022 to Feb 9, 2023
Signals
2 dated events
- L••••• T••••• B••••••• left I•••••• C•••••• M••••••••• for B••••••• W••••• A•••••••• L•• (registered 2024-10-01)Mar 26, 2024 · Advisor changed firm · fact
- D••••• B••••••• I•••••• C•••••• filed its initial SEC registration (Form ADV)May 6, 2021 · 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
- Principal office phone
- 925-362-9571reportedpublic record, Form ADV, Feb 13, 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
- $82.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026