DFX Intelligence
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A••• C•••••• M••••••••• L•
Wealth manager with institutional or fund businessSEC-registered2 private funds· San Francisco, Californiawebsite
Wealth manager with institutional or fund business, based in San Francisco, California, reporting $335M of regulatory assets across 1 registered advisors.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $335M
- Advisors
- 1
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- -52%
- Private clients
- 41% of RAUM, $139M
Form ADV
IAPD
IAPD registration history
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- RAUM a year earlier $701MRAUM now $335M
- performance-based compensation (Item 5.E.6) 0
- Contact points 2
Every filed figure, and the identifiersCRD 323353 · SEC 801-129529 · 8 filingsShowHide
CRD 323353SEC 801-129529First filing on the tape Jan 18, 2024, latest Mar 31, 2026SEC status approved since Feb 16, 2024IAPD
RAUM
$335M
reported, Item 5.F
Discretionary
42%
of RAUM
Private clients
41%
$139M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$335M
derived; firm RAUM over IAPD count
Employees
40
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$335M as of Mar 31, 2026
Mar 31, 2025$701M then
HNW client RAUM$139M as of Mar 31, 2026
Mar 31, 2025$103M then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 31, 20250 then
Employees (5.A)40 as of Mar 31, 2026
Mar 31, 202544 then
Private funds2 as of Mar 31, 2026
Mar 31, 20253 then
RAUM -52% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $335MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $629,941derivedHNW RAUM over HNW clients
- Average account
- $1.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 42%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 40.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -52%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $335M, 277 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$139M51%
- Pooled investment vehicles$75.0M28%
- Corporations and businesses$55.8M21%
- Individual clients
- n/areported
- HNW clients
- 220reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 277reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $335M for 277 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.41 fund_share=0.22 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D••••• A••••• A•••• W•••• | San Francisco, Ca | Aug 1, 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
- D••••• A••••• A•••• W•••• from J••• M••••• S••••••••• L••Aug 1, 2025 · Other
Private funds
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A••• T••• T•••• | Hedge Fund | $67.0M | 1 | Mar 31, 2026 |
| P••••• L•••••• L•• | Hedge Fund | $65.4M | 1 | Mar 31, 2026 |
| A••• D•••••• I••••• M••••• F••• S••• L••• • S••••••••• P•••••••• A•no longer reported | Hedge Fund | $0 | 0 | Dec 6, 2022 |
| A••• D•••••• I••••• M••••• F••• S••• L••• • S••••••••• P•••••••• B•no longer reported | Hedge Fund | $0 | 0 | Dec 6, 2022 |
| A••• D•••••• I••••• M••••• F•••• S•• L••• • S••••••••• P•••••••• C•no longer reported | Hedge Fund | $0 | 0 | Dec 6, 2022 |
Owners and control persons
Schedule A and B, latest filing
- K••• M••••••• L•••• · Managing Directorcontrolsince 11/2022 · owns 5% to 10%
- S••••••• E••••• I•••••• · Chief Compliance Officercontrolsince 11/2022 · owns less than 5%
Entity owners
- A••• C•••••• M••••••••• L•• · General Partnerdirect · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
6 against comparable advisers; where to look, not conclusions
- compensation changedChange between filings · filing Mar 31, 2026performance-based compensation (Item 5.E.6): yes on the filing of 2026-02-09, no on the filing of 2026-03-31peers: independent wealth managers, $100M to $500M (5,679)
- discretionary share shiftChange between filings · filing Mar 31, 2026discretionary share of RAUM moved from 85.0% to 42.0% between the annual amendments of 2025-03-31 and 2026-03-31peers: independent wealth managers, $100M to $500M (5,679)
- HNW share shiftChange between filings · filing Mar 31, 2026HNW share of RAUM moved from 15.0% to 41.0% between the annual amendments of 2025-03-31 and 2026-03-31peers: independent wealth managers, $100M to $500M (5,679)
- client mix shiftChange between filings · filing Mar 31, 2026private-client share of RAUM moved from 15.0% to 41.0% between the annual amendments of 2025-03-31 and 2026-03-31peers: independent wealth managers, $100M to $500M (5,679)
- institutional asset share shiftChange between filings · filing Mar 31, 2026institutional share of RAUM moved from 0.0% to 17.0% between the annual amendments of 2025-03-31 and 2026-03-31peers: independent wealth managers, $100M to $500M (5,679)
- RAUM down 50 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $700,641,708 to $334,730,631 (-52.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was +15.0% (4548 comparable advisers, 0.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,548) · 0.4% percentile
What changed
consecutive filings, newest first
- Accounts · 87 to 277Feb 9, 2026 to Mar 31, 2026
- Advisory employees · 6 to 5Feb 9, 2026 to Mar 31, 2026
- Corporate clients · 7 to 55Feb 9, 2026 to Mar 31, 2026
- HNW clients · 77 to 220Feb 9, 2026 to Mar 31, 2026
- Pooled vehicle clients · 3 to 1Feb 9, 2026 to Mar 31, 2026
- Assets in custody · $701M to $335MFeb 9, 2026 to Mar 31, 2026
- Employees · 44 to 40Feb 9, 2026 to Mar 31, 2026
- Private funds · 3 to 2Feb 9, 2026 to Mar 31, 2026
- Discretionary RAUM · $597M to $140MFeb 9, 2026 to Mar 31, 2026
- HNW RAUM · $103M to $139MFeb 9, 2026 to Mar 31, 2026
- Non-discretionary RAUM · $104M to $194MFeb 9, 2026 to Mar 31, 2026
- Pooled vehicle RAUM · $597M to $75.0MFeb 9, 2026 to Mar 31, 2026
- RAUM · $701M to $335MFeb 9, 2026 to Mar 31, 2026
- Financial planning clients · unset to May 20, 2025 to Jul 9, 2025
- Accounts · 75 to 87Jan 29, 2024 to Mar 31, 2025
- Advisory employees · 4 to 6Jan 29, 2024 to Mar 31, 2025
- Corporate clients · unset to 7.0Jan 29, 2024 to Mar 31, 2025
- HNW clients · unset to 77.0Jan 29, 2024 to Mar 31, 2025
- Individual clients · 75.0 to unsetJan 29, 2024 to Mar 31, 2025
- Pooled vehicle clients · unset to 3.0Jan 29, 2024 to Mar 31, 2025
- Assets in custody · $103M to $701MJan 29, 2024 to Mar 31, 2025
- Custody of client assets · false to trueJan 29, 2024 to Mar 31, 2025
- Employees · 5 to 44Jan 29, 2024 to Mar 31, 2025
- Private funds · 1 to 3Jan 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $103M to $597MJan 29, 2024 to Mar 31, 2025
- HNW RAUM · unset to 102626728.0Jan 29, 2024 to Mar 31, 2025
- Individual RAUM · 102500000.0 to unsetJan 29, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $0 to $104MJan 29, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · unset to 596862232.0Jan 29, 2024 to Mar 31, 2025
- RAUM · $103M to $701MJan 29, 2024 to Mar 31, 2025
- Private funds · 2 to 1Jan 18, 2024 to Jan 29, 2024
Signals
12 dated events
- ••• LockedMar 31, 2026 · private fund first reported · fact
- ••• LockedMar 31, 2026 · RAUM change · derived
- ••• LockedMar 31, 2026 · private fund first reported · fact
- ••• LockedMar 31, 2026 · private fund no longer reported · inference
- ••• LockedMar 31, 2026 · ria indirect owner change · fact
- ••• LockedMar 31, 2026 · ria principal change · derived
- ••• LockedMar 31, 2026 · ria principal change · fact
- ••• LockedMar 31, 2026 · Control person left · inference
- ••• LockedMar 31, 2026 · Control person joined · fact
- ••• LockedMar 31, 2025 · RAUM change · derived
- ••• LockedJan 29, 2024 · ria registration change · fact
- ••• LockedJan 18, 2024 · 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
- Website
- ••• Lockedreportedpublic record, Form ADV, Mar 31, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Mar 31, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $335Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026