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
Conquis Financial LLC
Latest filing Aug 10, 2026
First filing on the tape Mar 14, 2022 · 18 filings
SEC status approved since Apr 14, 2022
RAUM
$280M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$280M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$140M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$280M as of Aug 10, 2026
Mar 15, 2023$170M then
HNW client RAUM$274M as of Aug 10, 2026
Mar 15, 2023$167M then
State-registered IARs (5.B.3)2 as of Aug 10, 2026
Mar 15, 20233 then
Employees (5.A)2 as of Aug 10, 2026
Mar 15, 20233 then
Private funds: no history
RAUM +27% over the last fiscal year+18% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Aug 10, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $140MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 25derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.9MderivedHNW RAUM over HNW clients
- Average account
- $1.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +27%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.4%derived
- Compensation
- percentage of assets, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Custody
- $76.7M, 29 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$274M98%
- Individuals$5.9M2.1%
- Individual clients
- 10reported
- HNW clients
- 40reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 234reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $76.7M for 29 clientsreported
- Compensation
- % of AUM, fixedreported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Katherine Ann SimmondsCertified Financial Planner | Millbrae, Ca | May 19, 2022 | 35 y | 4 |
| Jacob David LevyCertified Financial Planner | Millbrae, Ca | Oct 24, 2024 | 9 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 50% of current headcount3 left over 36 months
Left, latest
- Brieanna Rain Ford to BakeravenueApr 23, 2026 · RIA to RIA
- Adam Bashir Govani to Mercer Global Advisors Inc.Jan 21, 2025 · RIA to RIA
- Joshua Ferber Levine to Firefly Wealth ManagementMar 8, 2024 · RIA to a state-registered adviser
Joined, latest
- Brieanna Rain Ford from Capital Advantage, Inc.Apr 4, 2025 · RIA to RIA
- Adam Bashir Govani from Summitry, LLCOct 6, 2023 · RIA to RIA
- Katherine Ann Simmonds from Mariner IndependentMay 19, 2022 · RIA to a newly registered adviser
- Joshua Ferber Levine from Mariner IndependentMay 19, 2022 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from Mariner IndependentJul 5, 2022 · Millbrae, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Curtis Charles Black · Chief Compliance Officercontrolsince 06/2023 · owns less than 5%
- Ann Katherine Simmonds · President/Chief Executive Officercontrolsince 03/2022 · 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 |
|---|---|---|---|---|---|
| Millbrae, Ca · principal | 2 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 3 to 2Feb 25, 2026 to Apr 23, 2026
- Employees · 3 to 2Feb 25, 2026 to Apr 23, 2026
- State-registered IARs · 3 to 2Feb 25, 2026 to Apr 23, 2026
- Accounts · 211 to 234Feb 28, 2025 to Feb 25, 2026
- Advisory employees · 2 to 3Feb 28, 2025 to Feb 25, 2026
- HNW clients · 37 to 40Feb 28, 2025 to Feb 25, 2026
- Assets in custody · $77.7M to $76.7MFeb 28, 2025 to Feb 25, 2026
- Employees · 2 to 3Feb 28, 2025 to Feb 25, 2026
- Financial planning clients · 26-50 to 51-100Feb 28, 2025 to Feb 25, 2026
- State-registered IARs · 2 to 3Feb 28, 2025 to Feb 25, 2026
- Discretionary RAUM · $221M to $280MFeb 28, 2025 to Feb 25, 2026
- HNW RAUM · $214M to $274MFeb 28, 2025 to Feb 25, 2026
- Individual RAUM · $7.1M to $5.9MFeb 28, 2025 to Feb 25, 2026
- RAUM · $221M to $280MFeb 28, 2025 to Feb 25, 2026
- Accounts · 234 to 211Oct 4, 2024 to Feb 28, 2025
- HNW clients · 40 to 37Oct 4, 2024 to Feb 28, 2025
- Individual clients · 8 to 10Oct 4, 2024 to Feb 28, 2025
- Assets in custody · $67.5M to $77.7MOct 4, 2024 to Feb 28, 2025
- Financial planning clients · 26-50 to 26-50Oct 4, 2024 to Feb 28, 2025
- Discretionary RAUM · $207M to $221MOct 4, 2024 to Feb 28, 2025
- HNW RAUM · $202M to $214MOct 4, 2024 to Feb 28, 2025
- Individual RAUM · $5.0M to $7.1MOct 4, 2024 to Feb 28, 2025
- RAUM · $207M to $221MOct 4, 2024 to Feb 28, 2025
- Accounts · 208 to 234Jun 6, 2023 to Mar 25, 2024
- Advisory employees · 3 to 2Jun 6, 2023 to Mar 25, 2024
- Advisory activities · 5 to 4Jun 6, 2023 to Mar 25, 2024
- Charity clients · 6.0 to unsetJun 6, 2023 to Mar 25, 2024
- HNW clients · 187 to 40Jun 6, 2023 to Mar 25, 2024
- Individual clients · 15 to 8Jun 6, 2023 to Mar 25, 2024
- Pension plan clients · 0.0 to unsetJun 6, 2023 to Mar 25, 2024
- Assets in custody · unset to 67522618.0Jun 6, 2023 to Mar 25, 2024
- Custody of client assets · false to trueJun 6, 2023 to Mar 25, 2024
- Employees · 3 to 2Jun 6, 2023 to Mar 25, 2024
- Financial planning clients · 11-25 to 26-50Jun 6, 2023 to Mar 25, 2024
- State-registered IARs · 3 to 2Jun 6, 2023 to Mar 25, 2024
- Discretionary RAUM · $170M to $207MJun 6, 2023 to Mar 25, 2024
- HNW RAUM · $167M to $202MJun 6, 2023 to Mar 25, 2024
- Individual RAUM · $2.3M to $5.0MJun 6, 2023 to Mar 25, 2024
- Non-discretionary RAUM · $84,296 to $0Jun 6, 2023 to Mar 25, 2024
- Pension RAUM · 0.0 to unsetJun 6, 2023 to Mar 25, 2024
Signals
6 dated events
- Brieanna Rain Ford left Conquis Financial Llc for Bakeravenue (registered 2026-06-04)Apr 23, 2026 · Advisor changed firm · fact
- Adam Bashir Govani left Conquis Financial Llc for Mercer Global Advisors Inc. (registered 2026-01-05)Jan 21, 2025 · Advisor changed firm · fact
- Joshua Ferber Levine left Conquis Financial Llc for Firefly Wealth Management (registered 2024-06-28)Mar 8, 2024 · Advisor changed firm · fact
- Curtis Charles Black (Chief Compliance Officer) appeared on Schedule A of Conquis Financial LlcJun 5, 2023 · Control person joined · fact
- 2 advisors left Mariner Independent (Millbrae, CA) for Conquis Financial LLC on the same dayJul 5, 2022 · Team lift-out · derived
- Conquis Financial Llc filed its initial SEC registration (Form ADV)Mar 14, 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
- Firm profile
- linkedin.com/company/conquisfinancialreportedpublic record, Form ADV, Sep 17, 2026
- Website
- conquis.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 650-651-3609reportedpublic record, Form ADV, Aug 10, 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
- $140Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026