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
O••••••• W•••••
Legal name O••••••• W•••••• L••
Latest filing Jun 17, 2026
First filing on the tape Sep 20, 2021 · 16 filings
SEC status approved since Oct 20, 2021
RAUM
$332M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
80%
$265M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$111M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$332M as of Jun 17, 2026
Jan 12, 2022$102M then
HNW client RAUM$207M as of Jun 17, 2026
Jan 12, 2022$58.1M then
State-registered IARs (5.B.3)2 as of Jun 17, 2026
Jan 12, 20223 then
Employees (5.A)4 as of Jun 17, 2026
Jan 12, 20224 then
Private funds: no history
RAUM +22% over the last fiscal year+39% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jun 17, 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
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $111MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 329derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.4MderivedHNW RAUM over HNW clients
- Average account
- $322,092derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 17%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +15%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Custody
- $32.8M, 100 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$207M62%
- Individuals$58.0M17%
- Pension and profit-sharing plans$56.6M17%
- Corporations and businesses$10.7M3.2%
- Individual clients
- 843reported
- HNW clients
- 145reported
- Pension plan clients
- 33reported
- Charitable clients
- n/areported
- Accounts
- 1,032reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $32.8M for 100 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.8 fund_share=0.0 institutional_share=0.17 related_bd=true related_bank=false bd_reps=3.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C••••••••• L• S•••• | Modesto, Ca | Oct 20, 2021 | 11 y | 1 |
| T••••• M•••••• O••••••• | Modesto, Ca | Oct 20, 2021 | 29 y | 2 |
| P••• M•••••• L••••••• | Modesto, Ca | Jul 27, 2026 | 21 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
- P••• M•••••• L••••••• from C•••••• S••••• • C••• I•••Jul 27, 2026 · Affiliated broker-dealer or bank to independent RIA
- T••••• M•••••• O••••••• from L•• F•••••••• L••Oct 20, 2021 · Affiliated broker-dealer or bank to a newly registered adviser
- C••••••••• L• S•••• from L•• F•••••••• L••Oct 20, 2021 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from L•• F•••••••• L••Oct 28, 2021 · Modesto, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- O•••••••• T•••••• M•••••• · Managing Membercontrolsince 09/2021 · owns 75% or more
- B••••• D••••• A•• · Chief Compliance Officersince 09/2021 · 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 |
|---|---|---|---|---|---|
| Modesto, Ca · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- unusually high clients per advisorStatic outlier · filing Jun 17, 2026private clients per advisor of 329.3 against a peer median of 57.3 (3076 comparable advisers, 99.0th percentile, 7.8 robust deviations)peers: independent wealth managers, $100M to $500M (3,076) · 99% percentile
What changed
consecutive filings, newest first
- Accounts · 905 to 1,032Feb 18, 2025 to Mar 4, 2026
- Corporate clients · 9 to 11Feb 18, 2025 to Mar 4, 2026
- HNW clients · 75 to 145Feb 18, 2025 to Mar 4, 2026
- Individual clients · 787 to 843Feb 18, 2025 to Mar 4, 2026
- Pension plan clients · 34 to 33Feb 18, 2025 to Mar 4, 2026
- Assets in custody · $19.0M to $32.8MFeb 18, 2025 to Mar 4, 2026
- Employees · 3 to 4Feb 18, 2025 to Mar 4, 2026
- Discretionary RAUM · $273M to $332MFeb 18, 2025 to Mar 4, 2026
- HNW RAUM · $144M to $207MFeb 18, 2025 to Mar 4, 2026
- Individual RAUM · $71.4M to $58.0MFeb 18, 2025 to Mar 4, 2026
- Non-discretionary RAUM · $427,819 to $546,396Feb 18, 2025 to Mar 4, 2026
- Pension RAUM · $51.7M to $56.6MFeb 18, 2025 to Mar 4, 2026
- RAUM · $273M to $332MFeb 18, 2025 to Mar 4, 2026
- Accounts · 762 to 905Oct 28, 2024 to Feb 18, 2025
- Corporate clients · unset to 9.0Oct 28, 2024 to Feb 18, 2025
- HNW clients · 100 to 75Oct 28, 2024 to Feb 18, 2025
- Individual clients · 627 to 787Oct 28, 2024 to Feb 18, 2025
- Pension plan clients · 35 to 34Oct 28, 2024 to Feb 18, 2025
- Assets in custody · $12.7M to $19.0MOct 28, 2024 to Feb 18, 2025
- Financial planning clients · 0 to 0Oct 28, 2024 to Feb 18, 2025
- State-registered IARs · 3 to 2Oct 28, 2024 to Feb 18, 2025
- Discretionary RAUM · $222M to $273MOct 28, 2024 to Feb 18, 2025
- HNW RAUM · $155M to $144MOct 28, 2024 to Feb 18, 2025
- Individual RAUM · $27.1M to $71.4MOct 28, 2024 to Feb 18, 2025
- Non-discretionary RAUM · $0 to $427,819Oct 28, 2024 to Feb 18, 2025
- Pension RAUM · $39.7M to $51.7MOct 28, 2024 to Feb 18, 2025
- RAUM · $222M to $273MOct 28, 2024 to Feb 18, 2025
- Accounts · 592 to 762Nov 27, 2023 to Mar 20, 2024
- Advisory activities · 3 to 4Nov 27, 2023 to Mar 20, 2024
- HNW clients · 135 to 100Nov 27, 2023 to Mar 20, 2024
- Individual clients · 161 to 627Nov 27, 2023 to Mar 20, 2024
- Pension plan clients · 16 to 35Nov 27, 2023 to Mar 20, 2024
- Assets in custody · $10.1M to $12.7MNov 27, 2023 to Mar 20, 2024
- Discretionary RAUM · $123M to $222MNov 27, 2023 to Mar 20, 2024
- HNW RAUM · $95.3M to $155MNov 27, 2023 to Mar 20, 2024
- Individual RAUM · $5.0M to $27.1MNov 27, 2023 to Mar 20, 2024
- Pension RAUM · $22.2M to $39.7MNov 27, 2023 to Mar 20, 2024
- RAUM · $123M to $222MNov 27, 2023 to Mar 20, 2024
- Accounts · 376 to 592Jun 29, 2022 to Mar 20, 2023
- HNW clients · 61 to 135Jun 29, 2022 to Mar 20, 2023
Signals
1 dated events
- O••••••• W••••• filed its initial SEC registration (Form ADV)Sep 20, 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
- 209-579-2332reportedpublic record, Form ADV, Jun 17, 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
- $111Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026