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
T••• P•••• W••••• A•••••••
Legal name T••• P•••• W••••• A•••••••• L••
Latest filing Sep 4, 2026
First filing on the tape Oct 13, 2022 · 29 filings
SEC status approved since Nov 10, 2022
RAUM
$585M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$569M individuals and HNW
Advisors
10
registered through the firm on IAPD
RAUM per advisor
$58.5M
derived; firm RAUM over IAPD count
Employees
14
9 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$585M as of Apr 14, 2026
Feb 3, 2023$170M then
HNW client RAUM$451M as of Apr 14, 2026
Feb 3, 2023$79.6M then
State-registered IARs (5.B.3)10 as of Apr 14, 2026
Feb 3, 20235 then
Employees (5.A)14 as of Apr 14, 2026
Feb 3, 20238 then
Private funds: no history
RAUM +42% over the last fiscal year+51% a year over threeIARs 9 to 10offices 1 to 3
Practice profile
derived from the filing of Sep 4, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $58.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 42derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $330,016derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 2.5derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +42%derivedbetween the last two annual amendments
- Advisor growth, one year
- +11%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.4%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $71.7M, 173 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
- is an insurance broker or agent (6.A.6)
- 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)
- compensates persons for client referrals (8.G.1)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$451M77%
- Individuals$117M20%
- Corporations and businesses$10.0M1.7%
- Pension and profit-sharing plans$3.6M0.6%
- Charitable organizations$2.5M0.4%
- Individual clients
- 228reported
- HNW clients
- 194reported
- Pension plan clients
- 4reported
- Charitable clients
- 2reported
- Accounts
- 1,772reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $71.7M for 173 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.01 related_bd=true related_bank=false bd_reps=1.0derived
Advisors registered through the firm
10 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••••• K•••• | El Segundo, Ca | Dec 12, 2022 | 16 y | 2 |
| V••••• K•••• | San Francisco, Ca | Dec 12, 2022 | 14 y | 2 |
| K•••••• L••• H•••••••• | San Francisco, Ca | Dec 14, 2022 | 10 y | 1 |
| B•••• D•• N•••••Certified Financial Planner | Newark, Ca | Dec 15, 2022 | 18 y | 4 |
| S•••••• T••• T• N••••• | San Francisco, Ca | Dec 20, 2022 | 12 y | 1 |
| S••••• B•••••••• | San Francisco, Ca | Jan 4, 2023 | 10 y | 0 |
| E••••• V•••••••• | San Francisco, Ca | Aug 12, 2023 | 13 y | 0 |
| S•••• G•••• | New York, Ny | Oct 22, 2024 | 10 y | 0 |
| K•••••• D••••••• G•••••• | El Segundo , Ca | Jan 20, 2026 | 10 y | 2 |
| J••••• A• K••••• | San Francisco, Ca | Sep 11, 2026 | 17 y | 2 |
Advisor movement
1 left, 3 joined in 12 months
net +2 in 12 months1 left in 90 days1 joined in 90 daysdeparture rate 10% of current headcount2 left over 36 months
Left, latest
- V•• G•••••• S••••••••• to O•••••••••Jun 30, 2026 · Other
- J•••• R•••••• to N•••••• F•••••••• G••••• I•••Feb 3, 2025 · RIA to RIA
- P•••••• B••••• to F••••••• P••••••• A•• W•••••••• A•••••••Feb 28, 2023 · RIA to affiliated broker-dealer or bank
Joined, latest
- J••••• A• K••••• from M••••• S••••••Sep 11, 2026 · Wirehouse to independent RIA
- V•• G•••••• S••••••••• from M•• I•••••••• S•••••••• L••Jan 20, 2026 · Affiliated broker-dealer or bank to independent RIA
- K•••••• D••••••• G•••••• from M• H••••••• S••••••••• I•••Jan 20, 2026 · Affiliated broker-dealer or bank to independent RIA
- J•••• R•••••• from B••• O• A•••••• I••••••••• S•••••••• I•••Aug 12, 2024 · Other
- S•••••• T••• T• N••••• from L•• F•••••••• L••Dec 20, 2022 · RIA to a newly registered adviser
- P•••••• B••••• from I••••••• F••Dec 15, 2022 · RIA to a newly registered adviser
- B•••• D•• N••••• from I••••••• F••Dec 15, 2022 · RIA to a newly registered adviser
- K•••••• L••• H•••••••• from L•• F•••••••• L••Dec 14, 2022 · RIA to a newly registered adviser
- T••••• K•••• from L•• F•••••••• L••Dec 12, 2022 · RIA to a newly registered adviser
- V••••• K•••• from L•• F•••••••• L••Dec 12, 2022 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from L•• F•••••••• L••Dec 20, 2022 · Burlingame, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K••••• T••••• · Principalcontrolsince 10/2022 · owns 50% to 75%
- K••••• V••••• · Principalcontrolsince 10/2022 · owns 50% to 75%
- H••••••••• K••••••• L••• · Ccosince 11/2022 · owns less than 5%
Related persons
Schedule D 7.A
- T••• I•••••••• S•••••••• L••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| San Francisco, Ca | 10 | 2 | 1 | ||
| El Segundo, Ca | 2 | 1 | 0 | ||
| New York, Ny | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Newark, CA2 employees
- New York, NY1 employees
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 25 %Change between filings · filing Apr 14, 2026RAUM (Item 5.F) moved from $410,400,224 to $584,788,678 (+42.0%) between the annual amendments of 2025-03-26 and 2026-04-14; the peer median change was +16.0% (1385 comparable advisers, 92.0th percentile of changes)peers: independent wealth managers, $500M to $1B (1,385) · 92% percentile
What changed
consecutive filings, newest first
- Financial planning clients · 51-100 to 51-100Apr 14, 2026 to Sep 4, 2026
- HQ city · to unsetApr 14, 2026 to Sep 4, 2026
- HQ state · to unsetApr 14, 2026 to Sep 4, 2026
- Succession · false to unsetApr 14, 2026 to Sep 4, 2026
- Accounts · 1,592 to 1,772Dec 12, 2025 to Mar 25, 2026
- Advisory activities · 2 to 4Dec 12, 2025 to Mar 25, 2026
- Charity clients · unset to 2.0Dec 12, 2025 to Mar 25, 2026
- Corporate clients · 2 to 3Dec 12, 2025 to Mar 25, 2026
- HNW clients · 131 to 194Dec 12, 2025 to Mar 25, 2026
- Individual clients · 297 to 228Dec 12, 2025 to Mar 25, 2026
- Pension plan clients · unset to 4.0Dec 12, 2025 to Mar 25, 2026
- Pooled vehicle clients · unset to 0.0Dec 12, 2025 to Mar 25, 2026
- Assets in custody · $113M to $71.7MDec 12, 2025 to Mar 25, 2026
- Employees · 9 to 14Dec 12, 2025 to Mar 25, 2026
- State-registered IARs · 9 to 10Dec 12, 2025 to Mar 25, 2026
- Other offices · 1 to 3Dec 12, 2025 to Mar 25, 2026
- Discretionary RAUM · $410M to $585MDec 12, 2025 to Mar 25, 2026
- HNW RAUM · $276M to $451MDec 12, 2025 to Mar 25, 2026
- Individual RAUM · $128M to $117MDec 12, 2025 to Mar 25, 2026
- Pension RAUM · unset to 3569789.0Dec 12, 2025 to Mar 25, 2026
- Pooled vehicle RAUM · unset to 0.0Dec 12, 2025 to Mar 25, 2026
- RAUM · $410M to $585MDec 12, 2025 to Mar 25, 2026
- Financial planning clients · 51-100 to 51-100Jun 5, 2025 to Jul 29, 2025
- Accounts · 1,402 to 1,592Oct 22, 2024 to Mar 26, 2025
- Advisory employees · 7 to 9Oct 22, 2024 to Mar 26, 2025
- Corporate clients · 3 to 2Oct 22, 2024 to Mar 26, 2025
- HNW clients · 74 to 131Oct 22, 2024 to Mar 26, 2025
- Individual clients · 337 to 297Oct 22, 2024 to Mar 26, 2025
- Assets in custody · $67.4M to $113MOct 22, 2024 to Mar 26, 2025
- Employees · 7 to 9Oct 22, 2024 to Mar 26, 2025
- HQ city · unset to Oct 22, 2024 to Mar 26, 2025
- HQ state · unset to Oct 22, 2024 to Mar 26, 2025
- State-registered IARs · 7 to 9Oct 22, 2024 to Mar 26, 2025
- Other offices · 10 to 1Oct 22, 2024 to Mar 26, 2025
- Discretionary RAUM · $319M to $410MOct 22, 2024 to Mar 26, 2025
- HNW RAUM · $183M to $276MOct 22, 2024 to Mar 26, 2025
- Individual RAUM · $131M to $128MOct 22, 2024 to Mar 26, 2025
- RAUM · $319M to $410MOct 22, 2024 to Mar 26, 2025
- Related broker-dealer · false to trueOct 22, 2024 to Mar 26, 2025
- Other offices · 9 to 10Oct 9, 2024 to Oct 22, 2024
Signals
10 dated events
- J••••• A• K••••• added a CA registration at T••• P•••• W••••• A•••••••Sep 15, 2026 · New state registration · fact
- J••••• A• K••••• added a TX registration at T••• P•••• W••••• A•••••••Sep 11, 2026 · New state registration · fact
- V•• G•••••• S••••••••• left T••• P•••• W••••• A••••••• for Onedigital (registered 2026-09-08)Jun 30, 2026 · Advisor changed firm · fact
- T••• P•••• W••••• A••••••• reported RAUM $584.8M, up 42% from $410.4M (2025-12-12 to 2026-03-25)Mar 25, 2026 · RAUM change · derived
- T••• P•••• W••••• A••••••• reported 1 offices beyond its principal office, down from 10 (2024-10-22 to 2025-03-26)Mar 26, 2025 · Office count change · derived
- J•••• R•••••• left T••• P•••• W••••• A••••••• for N•••••• F•••••••• G••••• I••• (registered 2025-03-13)Feb 3, 2025 · Advisor changed firm · fact
- T••• P•••• W••••• A••••••• reported RAUM $273.5M, up 61% from $170.2M (2023-07-05 to 2023-08-01)Aug 1, 2023 · RAUM change · derived
- P•••••• B••••• left T••• P•••• W••••• A••••••• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2023-05-22)Feb 28, 2023 · Advisor changed firm · fact
- 2 advisors left L•• F•••••••• L•• (Burlingame, CA) for T••• P•••• W••••• A••••••• on the same dayDec 20, 2022 · Team lift-out · derived
- T••• P•••• W••••• A••••••• filed its initial SEC registration (Form ADV)Oct 13, 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 phone
- 650-200-0308reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/twin-peaks-wealth-advisorsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- twinpwa.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (650) 200-0308reportedpublic record, Form ADV, Sep 4, 2026
- Team page
- twinpwa.com/our-teamreportedpublished by the firm, firm site, Sep 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $58.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026