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
N•• I•••••• W••••• A•••••••
Latest filing Sep 18, 2026
First filing on the tape Dec 7, 2021 · 17 filings
SEC status approved since Jan 7, 2022
RAUM
$397M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
93%
$369M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$79.4M
derived; firm RAUM over IAPD count
Employees
7
5 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$397M as of Mar 25, 2026
Mar 28, 2023$197M then
HNW client RAUM$307M as of Mar 25, 2026
Mar 28, 2023$117M then
State-registered IARs (5.B.3)4 as of Mar 25, 2026
Mar 28, 20233 then
Employees (5.A)7 as of Mar 25, 2026
Mar 28, 20236 then
Private funds: no history
RAUM +17% over the last fiscal year+26% a year over threeIARs 3 to 4
Practice profile
derived from the filing of Sep 18, 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
- $79.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 70derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%derivedof RAUM
- Institutional
- 3.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.4%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $252M, 287 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$307M77%
- Individuals$61.7M16%
- Corporations and businesses$14.6M3.7%
- Pension and profit-sharing plans$13.4M3.4%
- Charitable organizations$140,4700.0%
- Individual clients
- 188reported
- HNW clients
- 164reported
- Pension plan clients
- 11reported
- Charitable clients
- 1reported
- Accounts
- 360reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $252M for 287 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.03 related_bd= related_bank= bd_reps=1.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S••••••• L•• | San Ramon, Ca | Jan 10, 2022 | 24 y | 1 |
| M•••••• B••••••• Y• | San Ramon, Ca | Jan 10, 2022 | 13 y | 1 |
| D•••• T•• Y•••Chartered Financial Analyst | San Ramon, Ca | Jun 18, 2024 | 17 y | 0 |
| M•••••• C•••• C••• L•• | San Ramon, Ca | Jul 26, 2024 | 22 y | 2 |
| A••• S•••••• H•••Chartered Financial Consultant | San Ramon, Ca | Apr 30, 2025 | 11 y | 1 |
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
- A••• S•••••• H••• from A•••••••• A••••• L••Apr 30, 2025 · Other
- M•••••• C•••• C••• L•• from A••••••••• F•••••••• S•••••••• L••Jul 26, 2024 · Affiliated broker-dealer or bank to independent RIA
- S••••••• L•• from A••••••••• F•••••••• S•••••••• L••Jan 10, 2022 · Affiliated broker-dealer or bank to a newly registered adviser
- M•••••• B••••••• Y• from A••••••••• F•••••••• S•••••••• L••Jan 10, 2022 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from A••••••••• F•••••••• S•••••••• L••Jan 10, 2022 · San Ramon, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••• J••••••••• H• · Chief Compliance Officercontrolsince 12/2021 · owns less than 5%
- L••• S••••••• · Wealth Advisorcontrolsince 12/2021 · 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 |
|---|---|---|---|---|---|
| San Ramon, Ca · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- account count collapseChange between filings · filing Mar 25, 2026accounts (Item 5.F.2.f) moved from 1,109.0 to 360.0 (-68.0%) between the annual amendments of 2025-03-25 and 2026-03-25; the peer median change was +5.0% (3686 comparable advisers, 1.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,686) · 1.2% percentile
What changed
consecutive filings, newest first
- Financial planning clients · 0 to 0Mar 25, 2026 to Sep 18, 2026
- Related adviser · false to unsetMar 25, 2026 to Sep 18, 2026
- Related bank · false to unsetMar 25, 2026 to Sep 18, 2026
- Related broker-dealer · false to unsetMar 25, 2026 to Sep 18, 2026
- Related insurance company · false to unsetMar 25, 2026 to Sep 18, 2026
- Succession · false to unsetMar 25, 2026 to Sep 18, 2026
- Accounts · 1,109 to 360May 6, 2025 to Mar 25, 2026
- Advisory employees · 4 to 5May 6, 2025 to Mar 25, 2026
- Corporate clients · 10 to 11May 6, 2025 to Mar 25, 2026
- HNW clients · 143 to 164May 6, 2025 to Mar 25, 2026
- Individual clients · 191 to 188May 6, 2025 to Mar 25, 2026
- Assets in custody · $178M to $252MMay 6, 2025 to Mar 25, 2026
- Employees · 8 to 7May 6, 2025 to Mar 25, 2026
- Discretionary RAUM · $280M to $375MMay 6, 2025 to Mar 25, 2026
- HNW RAUM · $256M to $307MMay 6, 2025 to Mar 25, 2026
- Individual RAUM · $62.5M to $61.7MMay 6, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $58.6M to $21.8MMay 6, 2025 to Mar 25, 2026
- Pension RAUM · $12.1M to $13.4MMay 6, 2025 to Mar 25, 2026
- RAUM · $339M to $397MMay 6, 2025 to Mar 25, 2026
- Advisory employees · 3 to 4Mar 25, 2025 to May 6, 2025
- Employees · 7 to 8Mar 25, 2025 to May 6, 2025
- Financial planning clients · 0 to 0Mar 25, 2025 to May 6, 2025
- State-registered IARs · 3 to 4Mar 25, 2025 to May 6, 2025
- Accounts · 331 to 1,109Aug 28, 2024 to Mar 25, 2025
- Charity clients · unset to 1.0Aug 28, 2024 to Mar 25, 2025
- Corporate clients · unset to 10.0Aug 28, 2024 to Mar 25, 2025
- HNW clients · 208 to 143Aug 28, 2024 to Mar 25, 2025
- Individual clients · 105 to 191Aug 28, 2024 to Mar 25, 2025
- Pension plan clients · 10 to 11Aug 28, 2024 to Mar 25, 2025
- Assets in custody · $141M to $178MAug 28, 2024 to Mar 25, 2025
- Discretionary RAUM · $207M to $280MAug 28, 2024 to Mar 25, 2025
- HNW RAUM · $182M to $256MAug 28, 2024 to Mar 25, 2025
- Individual RAUM · $66.1M to $62.5MAug 28, 2024 to Mar 25, 2025
- Non-discretionary RAUM · $50.9M to $58.6MAug 28, 2024 to Mar 25, 2025
- Pension RAUM · $9.6M to $12.1MAug 28, 2024 to Mar 25, 2025
- RAUM · $258M to $339MAug 28, 2024 to Mar 25, 2025
- Related broker-dealer · true to falseMay 3, 2024 to Jun 21, 2024
- BD registered reps · 0 to 1Feb 13, 2024 to May 3, 2024
- Accounts · 969 to 331Mar 28, 2023 to Feb 13, 2024
- HNW clients · 72 to 208Mar 28, 2023 to Feb 13, 2024
Signals
2 dated events
- 3 advisors left A••••••••• F•••••••• S•••••••• L•• (San Ramon, CA) for N•• I•••••• W••••• A••••••• within 2 daysJan 10, 2022 · Team lift-out · derived
- N•• I•••••• W••••• A••••••• filed its initial SEC registration (Form ADV)Dec 7, 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
- Business email
- info@newinsightwealth.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 925-236-2525reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- newinsightwealth.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 925-236-2525reportedpublic record, Form ADV, Sep 18, 2026
- Contact form
- newinsightwealth.com/contactreportedpublished by the firm, firm site, Sep 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
- $79.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026