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
R•••••••• A•••• M•••••••••
Legal name R•••••••• A•••• M••••••••• L••
Latest filing Jun 15, 2026
First filing on the tape Jan 23, 2023 · 19 filings
SEC status approved since Jan 14, 2025
RAUM
$1.5B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$1.5B individuals and HNW
Advisors
137
registered through the firm on IAPD
RAUM per advisor
$11.1M
derived; firm RAUM over IAPD count
Employees
138
138 advisory (5.B.1)
Offices
6
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$1.5B as of Jun 15, 2026
Feb 7, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)138 as of Jun 15, 2026
Feb 7, 20250 then
Employees (5.A)138 as of Jun 15, 2026
Feb 7, 20256 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 138offices 1 to 6
Practice profile
derived from the filing of Jun 15, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- RAUM per advisor
- $11.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 1,844derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $5,749derivedRAUM 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
- 19.6derived7 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, otherreportedItem 5.G
- Custody
- $1.5B, 252,664 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$1.5B100%
- Individual clients
- 252,664reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 264,104reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.5B for 252,664 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=138.0derived
Advisors registered through the firm
137 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| H••• F•• | New York, Ny | Jan 28, 2025 | 11 y | 0 |
| R••••• J••••• S••••••• | Menlo Park, Ca | Jan 28, 2025 | 31 y | 2 |
| T•••• C••••••• | Menlo Park, Ca | Jan 28, 2025 | 11 y | 2 |
| S•••• M•••••• G•••••• | Frisco, Tx | Mar 17, 2025 | 20 y | 4 |
| C••••••••• A•••••• T••• | Menlo Park, Ca | Mar 17, 2025 | 10 y | 3 |
| J••••• L•••••• | Menlo Park, Ca | Mar 17, 2025 | 11 y | 1 |
| C•••••• A••••• G••••••••• | Menlo Park, Ca | Mar 17, 2025 | 12 y | 1 |
| M•••• J••••• K••• | Menlo Park, Ca | Mar 17, 2025 | 12 y | 1 |
| N••••••• R••• B•••••••• | Menlo Park, Ca | Mar 17, 2025 | 10 y | 0 |
| D••••• G••• | Menlo Park, Ca | Mar 17, 2025 | 12 y | 1 |
| N•••••••• R••••• B••••• | Menlo Park, Ca | Mar 17, 2025 | 10 y | 0 |
| R•••••• N• L••••••• | Chicago, Il | Mar 17, 2025 | 16 y | 0 |
| S•••••••• J••••• G••••Chartered Financial Analyst | Menlo Park, Ca | Mar 25, 2025 | 17 y | 0 |
| S••••••• M•••••• | Menlo Park, Ca | Mar 25, 2025 | 11 y | 0 |
| S•••••••• S•••• | Menlo Park, Ca | Mar 26, 2025 | 10 y | 0 |
| S•••• B•••• T••••••• | Hernando, Fl | Mar 26, 2025 | 13 y | 0 |
| W•••••• Z•• | Menlo Park, Ca | Mar 26, 2025 | 11 y | 0 |
| J••••• F•••••••• R••••• | Menlo Park, Ca | Mar 26, 2025 | 12 y | 0 |
| B•••• M••••• | Lake Mary, Fl | Mar 27, 2025 | 12 y | 2 |
| R•••••• J••••• A••••• | Menlo Park, Ca | Apr 1, 2025 | 35 y | 2 |
| A••••• D•••••••• P••••••••• | Menlo Park, Ca | Apr 11, 2025 | 16 y | 1 |
| G••••• P•••••••• | Westlake, Tx | Apr 17, 2025 | 12 y | 1 |
| A•••• H••• L•• | Fort Worth, Tx | Apr 17, 2025 | 10 y | 1 |
| K•••••• D••••• | Menlo Park, Ca | Apr 17, 2025 | 12 y | 3 |
| A•••••••• P••••• | Dallas, Tx | May 7, 2025 | 9 y | 1 |
| A••••• D••• T•••••• | Menlo Park, Ca | May 7, 2025 | 15 y | 0 |
| F••••••• G••• | Menlo Park, Ca | May 7, 2025 | 10 y | 3 |
| D••••• B•••••••• | Highlands Ranch, Co | May 7, 2025 | 10 y | 0 |
| R•••• Z••••• D••• I•• | Orlando, Fl | May 9, 2025 | 12 y | 2 |
| R••• J••••• H••••• | Menlo Park, Ca | May 9, 2025 | 10 y | 1 |
| A•••••• S•••• D••••• | Menlo Park, Ca | May 9, 2025 | 12 y | 0 |
| K••• M••••••• G•••••••• | Grand Lake, Co | May 9, 2025 | 12 y | 0 |
| B•••••• L•• I••••••• | Colorado Springs, Co | May 9, 2025 | 10 y | 0 |
| J•••• R•••••• M•••••• | Denver, Co | May 9, 2025 | 12 y | 1 |
| J••• A•••••• O•••• | Menlo Park, Ca | May 12, 2025 | 10 y | 0 |
| T•••• P•••••• H••• | Menlo Park, Ca | May 21, 2025 | 11 y | 0 |
| I••••• P•••• | Orlando, Fl | Jun 4, 2025 | 10 y | 0 |
| J••• O••• L•••• | Menlo Park, Ca | Jun 16, 2025 | 10 y | 0 |
| D•••• L••••• P•••••••• | Menlo Park, Ca | Jun 23, 2025 | 12 y | 0 |
| N••••• M••••• N•••••• | Menlo Park, Ca | Jul 7, 2025 | 12 y | 0 |
Advisor movement
6 left, 38 joined in 12 months
net +32 in 12 months2 left in 90 days7 joined in 90 daysdeparture rate 4.4% of current headcount7 left over 36 months
Left, latest
- M••••••• T•••••• to C••••• I••••••••• A••••••• L••Sep 11, 2026 · Affiliated broker-dealer or bank to another
- M•••••• E••••• to W•••• F•••• A•••••••Jul 30, 2026 · Affiliated broker-dealer or bank to wirehouse
- S••••• K••••••••• to E•••••• A••••••• G••••• L••Apr 2, 2026 · Affiliated broker-dealer or bank to another
- F••••••• A• M•••• P••••• to J••• M••••• S••••••••• L••Mar 12, 2026 · Affiliated broker-dealer or bank to wirehouse
- S••••••• R•••••• R•••• to T••••••••• R••••••••• A•••••••• L••Oct 30, 2025 · RIA to affiliated broker-dealer or bank
- L•••••• A•• H•••• to L•• F•••••••• L••Oct 4, 2025 · RIA to affiliated broker-dealer or bank
- K•••••• L••••• J•••••• to I•••••••••Aug 28, 2025 · RIA to a state-registered adviser
Joined, latest
- D••••••• R•••• H•••••• from A••••• A•• P••••••• S•••••••Sep 9, 2026 · Affiliated broker-dealer or bank to another
- I•••• O•••• C••••• from S•••••••• A••••••• L••Sep 8, 2026 · Affiliated broker-dealer or bank to another
- R••• D•••• F••••• from C••••• I••••••••• A••••••• L••Sep 8, 2026 · Other
- C•••• G••••• from C•••••• S••••• • C••• I•••Aug 12, 2026 · Affiliated broker-dealer or bank to another
- R••••• F••••• F••••••• from M••••• S••••••Jul 31, 2026 · Wirehouse to affiliated broker-dealer or bank
- A••••• S•••••• from S•••••••• A••••••• L••Jul 7, 2026 · Affiliated broker-dealer or bank to another
- M•••••• H•••• from S•••••••• A••••••• L••Jul 7, 2026 · Affiliated broker-dealer or bank to another
- N••••••• E•••• B•••• from F••••• I•••••••••Jun 11, 2026 · RIA to affiliated broker-dealer or bank
- A•••••••• M• T••••• from S•••••••• A••••••• L••Jun 10, 2026 · Affiliated broker-dealer or bank to another
- D••••• K••••• P•• from C•••••• S••••• • C••• I•••Jun 10, 2026 · Affiliated broker-dealer or bank to another
- B•••••• W••••• from J••• M••••• S••••••••• L••Jun 10, 2026 · Wirehouse to affiliated broker-dealer or bank
- J••• O•••• from E•••••• A••••••• G••••• L••Jun 10, 2026 · Affiliated broker-dealer or bank to another
- R••••• A•••••• T••••• from S•••••••• A••••••• L••May 28, 2026 · Affiliated broker-dealer or bank to another
- E••• G•••• from S•••••••• A••••••• L••May 28, 2026 · Affiliated broker-dealer or bank to another
- J•••• M••• from C••••• I••••••••• A••••••• L••May 28, 2026 · Affiliated broker-dealer or bank to another
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from S•••••••• A••••••• L••Nov 6, 2025 · Boston, Ma
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••• S••••••••• J••••• · Presidentcontrolsince 08/2022 · owns less than 5%
- S•••••••• R•••••• J••••• · Chief Compliance Officercontrolsince 01/2023 · owns less than 5%
Entity owners
- R•••••••• M•••••• I••• · 100% Ownerdirect · owns 75% or more · public reporting company
Related persons
Schedule D 7.A
- R•••••••• D••••••••• L••trust companyn
- R•••••••• F••••••••• L••broker-dealern
- R•••••••• S••••••••• L••broker-dealercustodiann
- R•••••••• U••• L••broker-dealern
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Menlo Park, Ca · principal | 137 | 73 | 3 | ||
| Denver, Co | 22 | 15 | 0 | ||
| Chicago, Il | 12 | 7 | 0 | ||
| Orlando, Fl | 8 | 3 | 0 | ||
| Fort Worth, Tx | 6 | 3 | 1 | ||
| Westlake, Tx | 6 | 2 | 0 | ||
| Dallas, Tx | 5 | 1 | 0 | ||
| Colorado Springs, Co | 3 | 2 | 0 | ||
| Lake Mary, Fl | 3 | 1 | 0 | ||
| Littleton, Co | 3 | 2 | 0 | ||
| Lone Tree, Co | 3 | 3 | 0 | ||
| Aurora, Co | 3 | 3 | 0 | ||
| Flower Mound, Tx | 2 | 2 | 0 | ||
| New York, Ny | 2 | 0 | 0 | ||
| Broomfield, Co | 2 | 1 | 0 | ||
| Plano, Tx | 2 | 1 | 0 | ||
| Sanford, Fl | 2 | 1 | 0 | ||
| Saginaw, Tx | 2 | 1 | 0 | ||
| Mckinney, Tx | 0 | 0 | 1 | ||
| Haslet, Tx | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- New York, NY1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- unusually high clients per advisorStatic outlier · filing Jun 15, 2026private clients per advisor of 1,844.3 against a peer median of 50.0 (54 comparable advisers, 98.0th percentile, 55.6 robust deviations)peers: affiliated wealth managers, $1B to $5B (54) · 98% percentile
What changed
consecutive filings, newest first
- Accounts · 81,015 to 264,104Nov 28, 2025 to Feb 27, 2026
- Advisory employees · 47 to 138Nov 28, 2025 to Feb 27, 2026
- Advisory activities · 1 to 2Nov 28, 2025 to Feb 27, 2026
- BD registered reps · 47 to 138Nov 28, 2025 to Feb 27, 2026
- Individual clients · 81,015 to 252,664Nov 28, 2025 to Feb 27, 2026
- Assets in custody · $159M to $1.5BNov 28, 2025 to Feb 27, 2026
- Employees · 56 to 138Nov 28, 2025 to Feb 27, 2026
- State-registered IARs · 47 to 138Nov 28, 2025 to Feb 27, 2026
- Other offices · 5 to 6Nov 28, 2025 to Feb 27, 2026
- Discretionary RAUM · $159M to $1.5BNov 28, 2025 to Feb 27, 2026
- Individual RAUM · $159M to $1.5BNov 28, 2025 to Feb 27, 2026
- RAUM · $159M to $1.5BNov 28, 2025 to Feb 27, 2026
- Related adviser · false to trueNov 28, 2025 to Feb 27, 2026
- Financial planning clients · unset to May 9, 2025 to Jul 1, 2025
- Accounts · 0 to 81,015Mar 25, 2025 to May 9, 2025
- Advisory employees · 6 to 47Mar 25, 2025 to May 9, 2025
- BD registered reps · 6 to 47Mar 25, 2025 to May 9, 2025
- Individual clients · 0 to 81,015Mar 25, 2025 to May 9, 2025
- Assets in custody · $0 to $159MMar 25, 2025 to May 9, 2025
- Employees · 6 to 56Mar 25, 2025 to May 9, 2025
- State-registered IARs · 0 to 47Mar 25, 2025 to May 9, 2025
- Other offices · 1 to 5Mar 25, 2025 to May 9, 2025
- Discretionary RAUM · $0 to $159MMar 25, 2025 to May 9, 2025
- Individual RAUM · unset to 158695275.0Mar 25, 2025 to May 9, 2025
- RAUM · $0 to $159MMar 25, 2025 to May 9, 2025
- Advisory employees · 3 to 6Oct 2, 2024 to Dec 19, 2024
- BD registered reps · 5 to 6Oct 2, 2024 to Dec 19, 2024
- Employees · 5 to 6Oct 2, 2024 to Dec 19, 2024
- Advisory employees · 1 to 3Mar 30, 2023 to May 12, 2023
- Advisory activities · 2 to 1Mar 30, 2023 to May 12, 2023
- BD registered reps · 2 to 5Mar 30, 2023 to May 12, 2023
- Custody of client assets · false to trueMar 30, 2023 to May 12, 2023
- Employees · 2 to 5Mar 30, 2023 to May 12, 2023
Signals
14 dated events
- O••• Jeremy Waskiewicz added a FL registration at R•••••••• A•••• M•••••••••Sep 15, 2026 · New state registration · fact
- M••••••• T•••••• left R•••••••• A•••• M••••••••• for C••••• I••••••••• A••••••• L•• (registered 2026-09-08)Sep 11, 2026 · Advisor changed firm · fact
- O••• Jeremy Waskiewicz added a CA registration at R•••••••• A•••• M•••••••••Aug 19, 2026 · New state registration · fact
- M•••••• E••••• left R•••••••• A•••• M••••••••• for W•••• F•••• A••••••• (registered 2026-08-05)Jul 30, 2026 · Advisor changed firm · fact
- S••••• K••••••••• left R•••••••• A•••• M••••••••• for E•••••• A••••••• G••••• L•• (registered 2026-05-13)Apr 2, 2026 · Advisor changed firm · fact
- F••••••• A• M•••• P••••• left R•••••••• A•••• M••••••••• for J••• M••••• S••••••••• L•• (registered 2026-08-26)Mar 12, 2026 · Advisor changed firm · fact
- R•••••••• A•••• M••••••••• reported 138 state-registered advisory representatives, up from 47 (2025-11-28 to 2026-02-27)Feb 27, 2026 · Advisor headcount change · derived
- R•••••••• A•••• M••••••••• reported RAUM $1.5B, up 857% from $158.7M (2025-11-28 to 2026-02-27)Feb 27, 2026 · RAUM change · derived
- 2 advisors left S•••••••• A••••••• L•• (Boston, MA) for R•••••••• A•••• M••••••••• within 6 daysNov 6, 2025 · Team lift-out · derived
- S••••••• R•••••• R•••• left R•••••••• A•••• M••••••••• for T••••••••• R••••••••• A•••••••• L•• (registered 2026-06-03)Oct 30, 2025 · Advisor changed firm · fact
- L•••••• A•• H•••• left R•••••••• A•••• M••••••••• for L•• F•••••••• L•• (registered 2025-10-01)Oct 4, 2025 · Advisor changed firm · fact
- K•••••• L••••• J•••••• left R•••••••• A•••• M••••••••• for Investorbloc (registered 2026-01-16)Aug 28, 2025 · Advisor changed firm · fact
- R•••••••• A•••• M••••••••• reported 47 state-registered advisory representatives, up from 0 (2025-03-25 to 2025-05-09)May 9, 2025 · Advisor headcount change · derived
- R•••••••• A•••• M••••••••• filed its initial SEC registration (Form ADV)Jan 23, 2023 · 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/robinhoodreportedpublic record, Form ADV, Sep 18, 2026
- Website
- robinhood.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 650-940-2700 EXT 31450reportedpublic record, Form ADV, Jun 15, 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
- Broker-dealer affiliated wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $11.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026