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.
Former SEC-registered adviser
Certus Wealth Management LLC
Latest filing May 7, 2025
First filing on the tape Feb 15, 2022 · 17 filings
SEC status approved since May 22, 2023
RAUM
$163M
reported, Item 5.F
Discretionary
92%
of RAUM
Private clients
99%
$161M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
1 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$163M as of May 7, 2025
Mar 6, 2024$136M then
HNW client RAUM$117M as of May 7, 2025
Mar 6, 2024$94.8M then
State-registered IARs (5.B.3)1 as of May 7, 2025
Mar 6, 20241 then
Employees (5.A)3 as of May 7, 2025
Mar 6, 20242 then
Private funds: no history
RAUM +19% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of May 7, 2025; every figure names its basis
- RAUM per advisor
- $163MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 139derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $416,402derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 92%derivedof RAUM
- Institutional
- 0.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.3%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $57.3M, 111 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$117M72%
- Individuals$43.9M27%
- Pension and profit-sharing plans$1.0M0.6%
- Other investment advisers$566,1680.3%
- Individual clients
- 91reported
- HNW clients
- 48reported
- Pension plan clients
- 1reported
- Charitable clients
- 0reported
- Accounts
- 391reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $57.3M for 111 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 days1 left over 36 months
Left, latest
- Joel Robert Van Hofwegen to FartherJan 2, 2026 · RIA to RIA
Joined, latest
- Joel Robert Van Hofwegen from Ma Private Wealth, LLCSep 19, 2022 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Robert Joel Van Hofwegen · Member, Chief Executive Officercontrolsince 05/2022 · owns 75% or more
- Anne Michelle Mccarthy · Chief Compliance Officersince 04/2023 · 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 Carlos, Ca | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · 11-25 to 11-25Feb 25, 2025 to May 7, 2025
- Accounts · 372 to 391Mar 7, 2024 to Jan 17, 2025
- Advisory activities · 3 to 4Mar 7, 2024 to Jan 17, 2025
- HNW clients · 41 to 48Mar 7, 2024 to Jan 17, 2025
- Assets in custody · $48.8M to $57.3MMar 7, 2024 to Jan 17, 2025
- Employees · 2 to 3Mar 7, 2024 to Jan 17, 2025
- HQ city · REDWOOD CITY to Mar 7, 2024 to Jan 17, 2025
- HQ state · CA to Mar 7, 2024 to Jan 17, 2025
- Discretionary RAUM · $124M to $149MMar 7, 2024 to Jan 17, 2025
- HNW RAUM · $94.8M to $117MMar 7, 2024 to Jan 17, 2025
- Individual RAUM · $39.9M to $43.9MMar 7, 2024 to Jan 17, 2025
- Non-discretionary RAUM · $12.6M to $13.6MMar 7, 2024 to Jan 17, 2025
- Pension RAUM · $878,447 to $1.0MMar 7, 2024 to Jan 17, 2025
- RAUM · $136M to $163MMar 7, 2024 to Jan 17, 2025
- Accounts · 357 to 372Jul 26, 2023 to Mar 6, 2024
- Individual clients · 90 to 91Jul 26, 2023 to Mar 6, 2024
- Assets in custody · $37.5M to $48.8MJul 26, 2023 to Mar 6, 2024
- Employees · 1 to 2Jul 26, 2023 to Mar 6, 2024
- Discretionary RAUM · $96.4M to $124MJul 26, 2023 to Mar 6, 2024
- HNW RAUM · $73.7M to $94.8MJul 26, 2023 to Mar 6, 2024
- Individual RAUM · $33.2M to $39.9MJul 26, 2023 to Mar 6, 2024
- Non-discretionary RAUM · $11.9M to $12.6MJul 26, 2023 to Mar 6, 2024
- Pension RAUM · $779,268 to $878,447Jul 26, 2023 to Mar 6, 2024
- RAUM · $108M to $136MJul 26, 2023 to Mar 6, 2024
- Accounts · 307 to 357Sep 13, 2022 to Apr 20, 2023
- HNW clients · 34 to 41Sep 13, 2022 to Apr 20, 2023
- Individual clients · 86 to 90Sep 13, 2022 to Apr 20, 2023
- Pension plan clients · 0 to 1Sep 13, 2022 to Apr 20, 2023
- Assets in custody · unset to 37524412.0Sep 13, 2022 to Apr 20, 2023
- Custody of client assets · false to trueSep 13, 2022 to Apr 20, 2023
- Discretionary RAUM · $81.9M to $96.4MSep 13, 2022 to Apr 20, 2023
- HNW RAUM · $64.3M to $73.7MSep 13, 2022 to Apr 20, 2023
- Individual RAUM · $28.1M to $33.2MSep 13, 2022 to Apr 20, 2023
- Non-discretionary RAUM · $11.3M to $11.9MSep 13, 2022 to Apr 20, 2023
- Pension RAUM · $760,793 to $779,268Sep 13, 2022 to Apr 20, 2023
- RAUM · $93.2M to $108MSep 13, 2022 to Apr 20, 2023
- Related adviser · true to falseSep 13, 2022 to Apr 20, 2023
- Advisory activities · 4 to 3Aug 30, 2022 to Sep 13, 2022
- Accounts · 0 to 307Aug 5, 2022 to Aug 30, 2022
- Advisory activities · 2 to 4Aug 5, 2022 to Aug 30, 2022
Signals
5 dated events
- Certus Wealth Management Llc no longer on the SEC adviser roster (last listed 2026-01-02, RAUM $162.8M)Feb 2, 2026 · Left the SEC roster · derived
- Joel Robert Van Hofwegen left Certus Wealth Management Llc for Farther (registered 2025-09-16)Jan 2, 2026 · Advisor changed firm · fact
- Leeway Richard Chen (Member) no longer on Schedule A of Certus Wealth Management Llc (listed 2022-02-15, absent 2022-05-02)May 2, 2022 · Control person left · inference
- Robert Joel Van Hofwegen (Member, Chief Executive Officer, Chief Compliance Officer) appeared on Schedule A of Certus Wealth Management LlcMay 2, 2022 · Control person joined · fact
- Certus Wealth Management Llc filed its initial SEC registration (Form ADV)Feb 15, 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.
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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026