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.
SEC-registered adviser
Arta Finance
Legal name Arta Finance Wealth Management, LLC
Latest filing Jun 25, 2026
First filing on the tape Mar 10, 2022 · 27 filings
SEC status approved since Apr 8, 2022
RAUM
$153M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$153M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$51.1M
derived; firm RAUM over IAPD count
Employees
68
18 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$153M as of Jun 25, 2026
Mar 27, 2023$1.6M then
HNW client RAUM$153M as of Jun 25, 2026
Mar 27, 2023$1.6M then
State-registered IARs (5.B.3)2 as of Jun 25, 2026
Mar 27, 20230 then
Employees (5.A)68 as of Jun 25, 2026
Mar 27, 202380 then
Private funds: no history
RAUM +24% over the last fiscal year+353% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jun 25, 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
- $51.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $147,119derivedHNW RAUM over HNW clients
- Average account
- $140,646derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 22.7derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +24%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 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)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$153M100%
- Individual clients
- n/areported
- HNW clients
- 1,043reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,091reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Matthew Stefan Linker | Mountain View, Ca | Aug 16, 2023 | 11 y | 0 |
| James Daniel Mihm | Mountain View, Ca | Mar 18, 2026 | 11 y | 2 |
| Nicholas Jacob Lin | Mountain View, Ca | May 8, 2026 | 14 y | 1 |
Advisor movement
1 left, 2 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 33% of current headcount1 left over 36 months
Left, latest
- Geoffrey Paul Tully to J.P. Morgan Securities LLCSep 30, 2025 · RIA to wirehouse
Joined, latest
- Nicholas Jacob Lin from Charles Schwab & Co., Inc.May 8, 2026 · Affiliated broker-dealer or bank to independent RIA
- James Daniel Mihm from Citigroup Global Markets Inc.Mar 18, 2026 · Affiliated broker-dealer or bank to independent RIA
- Geoffrey Paul Tully from Tlg Advisors, Inc.Apr 8, 2024 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Felix Lin · Presidentcontrolsince 07/2021 · owns 5% to 10%
- Caesar Sengupta · Ceocontrolsince 07/2021 · owns 5% to 10%
- Jon David Shapiro · Secretarycontrolsince 07/2021 · owns 5% to 10%
- Francis David Wilkinson · Ccocontrolsince 04/2024 · owns less than 5%
Related persons
Schedule D 7.A
- Arta Finance Club LLCinvestment advisern
- Arta Finance Insurance LLCreal estaten
- Arta Finance Securities LLCbroker-dealern
- Arta Wealth Management Pte. Ltdinvestment advisern
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Mountain View, Ca · principal | 3 | 2 | 0 | ||
| Miami Shores, Fl | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Singapore, Singapore5 employees
What changed
consecutive filings, newest first
- Accounts · 738 to 1,091Mar 31, 2025 to Mar 31, 2026
- BD registered reps · 3 to 0Mar 31, 2025 to Mar 31, 2026
- HNW clients · 968 to 1,043Mar 31, 2025 to Mar 31, 2026
- Employees · 88 to 68Mar 31, 2025 to Mar 31, 2026
- Financial planning clients · 11-25 to 1-10Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $123M to $153MMar 31, 2025 to Mar 31, 2026
- HNW RAUM · $123M to $153MMar 31, 2025 to Mar 31, 2026
- RAUM · $123M to $153MMar 31, 2025 to Mar 31, 2026
- Related broker-dealer · true to falseMar 31, 2025 to Mar 31, 2026
- Accounts · 2,015 to 738Feb 18, 2025 to Mar 31, 2025
- BD registered reps · 1 to 3Feb 18, 2025 to Mar 31, 2025
- HNW clients · 2,015 to 968Feb 18, 2025 to Mar 31, 2025
- Employees · 98 to 88Feb 18, 2025 to Mar 31, 2025
- Financial planning clients · More than 500 to 11-25Feb 18, 2025 to Mar 31, 2025
- State-registered IARs · 0 to 2Feb 18, 2025 to Mar 31, 2025
- Discretionary RAUM · $59.1M to $123MFeb 18, 2025 to Mar 31, 2025
- HNW RAUM · $59.1M to $123MFeb 18, 2025 to Mar 31, 2025
- RAUM · $59.1M to $123MFeb 18, 2025 to Mar 31, 2025
- Related broker-dealer · false to trueDec 2, 2024 to Dec 20, 2024
- Accounts · 2,636 to 2,015Oct 30, 2024 to Dec 2, 2024
- HNW clients · 1,318 to 2,015Oct 30, 2024 to Dec 2, 2024
- Other offices · 0 to 1Oct 30, 2024 to Dec 2, 2024
- Discretionary RAUM · $45.8M to $59.1MOct 30, 2024 to Dec 2, 2024
- HNW RAUM · $135M to $59.1MOct 30, 2024 to Dec 2, 2024
- Non-discretionary RAUM · $89.1M to $0Oct 30, 2024 to Dec 2, 2024
- RAUM · $135M to $59.1MOct 30, 2024 to Dec 2, 2024
- Accounts · 2,422 to 2,636Oct 17, 2023 to Mar 29, 2024
- Advisory employees · 8 to 18Oct 17, 2023 to Mar 29, 2024
- BD registered reps · 0 to 1Oct 17, 2023 to Mar 29, 2024
- HNW clients · 1,211 to 1,318Oct 17, 2023 to Mar 29, 2024
- Assets in custody · 14945500.0 to unsetOct 17, 2023 to Mar 29, 2024
- Custody of client assets · true to falseOct 17, 2023 to Mar 29, 2024
- Employees · 80 to 98Oct 17, 2023 to Mar 29, 2024
- Financial planning clients · 251-500 to More than 500Oct 17, 2023 to Mar 29, 2024
- Discretionary RAUM · $34.8M to $45.8MOct 17, 2023 to Mar 29, 2024
- HNW RAUM · $100M to $135MOct 17, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $65.3M to $89.1MOct 17, 2023 to Mar 29, 2024
- RAUM · $100M to $135MOct 17, 2023 to Mar 29, 2024
- Related adviser · false to trueOct 17, 2023 to Mar 29, 2024
- Accounts · 283 to 2,422Jun 26, 2023 to Oct 17, 2023
Signals
3 dated events
- Geoffrey Paul Tully left Arta Finance for J.P. Morgan Securities Llc (registered 2025-10-27)Sep 30, 2025 · Advisor changed firm · fact
- Francis David Wilkinson (Cco) appeared on Schedule A of Arta FinanceApr 9, 2024 · Control person joined · fact
- Arbo Works filed its initial SEC registration (Form ADV)Mar 10, 2022 · 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
- contact@artafinance.comreportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/74930905reportedpublic record, Form ADV, Sep 17, 2026
- Website
- artafinance.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 650-318-3898reportedpublic record, Form ADV, Jun 25, 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
- $51.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026