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
P••••• W••••• P•••••••• L••
Latest filing Sep 15, 2026
First filing on the tape Apr 6, 2023 · 14 filings
SEC status approved since May 4, 2023
RAUM
$243M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
90%
$218M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$122M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$243M as of Aug 31, 2026
Feb 21, 2024$207M then
HNW client RAUM$217M as of Aug 31, 2026
Feb 21, 2024$176M then
State-registered IARs (5.B.3)2 as of Aug 31, 2026
Feb 21, 20243 then
Employees (5.A)3 as of Aug 31, 2026
Feb 21, 20243 then
Private funds: no history
RAUM +10.0% over the last fiscal yearIARs 3 to 2offices 3 to 1
Practice profile
derived from the filing of Sep 15, 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
- RAUM per advisor
- $122MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 16derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $8.3MderivedHNW RAUM over HNW clients
- Average account
- $2.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +10.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- -33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -6.1%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $17.8M, 9 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$217M89%
- Corporations and businesses$25.1M10%
- Individuals$1.5M0.6%
- Individual clients
- 5reported
- HNW clients
- 26reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 94reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $17.8M for 9 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.9 fund_share=0.0 institutional_share=0.0 related_bd= related_bank= bd_reps=2.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••••• A•••••••• B•••• | Alamo, Ca | May 5, 2023 | 18 y | 5 |
| Y•••••• R••• R•••••••• | Alamo, Ca | May 25, 2023 | 15 y | 4 |
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
- Y•••••• R••• R•••••••• from I••••••• W••••• L••May 25, 2023 · RIA to a newly registered adviser
- J•••••• A•••••••• B•••• from I••••••• W••••• L••May 5, 2023 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from I••••••• W••••• L••Jun 6, 2023 · Clayton, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• J••••••• A•••••••• · Managing Directorcontrolsince 04/2023 · owns less than 5%
- K•••• G••••••• G••••• · Managing Director / Principalcontrolsince 04/2023 · owns less than 5%
- B••••• J••••••• A•••••••• · Shareholdercontrolsince 03/2023 · owns 50% to 75% of W•••• R••••• C••• I••
- K•••• G••••••• G••••• · Shareholdercontrolsince 02/2023 · owns 50% to 75% of W•••• R••••• C••• I••
- R••••••••• Y••••••• R••• · Chief Compliance Officersince 04/2023 · owns less than 5%
Entity owners
- A••• W••••• M••••••••• L•• · Ownerdirect · owns 50% to 75%
- W•••• R••••• C••• I•• · Ownerdirect · owns 25% to 50%
- A••• B••••••• T•••• · Memberindirect · owns 75% or more of A••• I••••••••• P••••••• L••
- A••• I••••••••• P••••••• L•• · Memberindirect · owns 75% or more of A••• M••••• L••
- A••• M••••• L•• · Memberindirect · owns 75% or more of A••• W••••• M••••••••• L••
- R•••••• C•••••• P••••••• F••• I• G••••• L•• · Trusteeindirect · owns F of A••• B••••••• T••••
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 |
|---|---|---|---|---|---|
| Alamo, Ca | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- unusually large average HNW clientStatic outlier · filing Sep 15, 2026HNW RAUM per HNW client of $8,334,633 against a peer median of $2,404,040 (4940 comparable advisers, 99.0th percentile, 4.0 robust deviations)peers: independent wealth managers, $100M to $500M (4,940) · 99% percentile
- office count dropChange between filings · filing Mar 27, 2026offices other than the principal office (Item 1.F.5) moved from 3.0 to 1.0 (-67.0%) between the annual amendments of 2025-02-14 and 2026-03-27; the peer median change was 0.0% (450 comparable advisers, 2.0th percentile of changes)peers: independent wealth managers, $100M to $500M (450) · 1.6% percentile
What changed
consecutive filings, newest first
- Financial planning clients · 0 to 0Aug 31, 2026 to Sep 15, 2026
- HQ city · to unsetAug 31, 2026 to Sep 15, 2026
- HQ state · to unsetAug 31, 2026 to Sep 15, 2026
- Related adviser · false to unsetAug 31, 2026 to Sep 15, 2026
- Related bank · false to unsetAug 31, 2026 to Sep 15, 2026
- Related broker-dealer · false to unsetAug 31, 2026 to Sep 15, 2026
- Related insurance company · false to unsetAug 31, 2026 to Sep 15, 2026
- Succession · false to unsetAug 31, 2026 to Sep 15, 2026
- Advisory employees · 3 to 2Oct 1, 2025 to Jan 22, 2026
- BD registered reps · 3 to 2Oct 1, 2025 to Jan 22, 2026
- HNW clients · 28 to 26Oct 1, 2025 to Jan 22, 2026
- Assets in custody · $24.9M to $17.8MOct 1, 2025 to Jan 22, 2026
- State-registered IARs · 3 to 2Oct 1, 2025 to Jan 22, 2026
- Other offices · 3 to 1Oct 1, 2025 to Jan 22, 2026
- Discretionary RAUM · $217M to $239MOct 1, 2025 to Jan 22, 2026
- HNW RAUM · $200M to $217MOct 1, 2025 to Jan 22, 2026
- Individual RAUM · $1.2M to $1.5MOct 1, 2025 to Jan 22, 2026
- Non-discretionary RAUM · $3.8M to $4.2MOct 1, 2025 to Jan 22, 2026
- RAUM · $221M to $243MOct 1, 2025 to Jan 22, 2026
- Financial planning clients · 0 to 0Feb 14, 2025 to Oct 1, 2025
- HQ city · CLAYTON to Feb 14, 2025 to Oct 1, 2025
- HQ state · CA to Feb 14, 2025 to Oct 1, 2025
- Accounts · 108 to 94Nov 20, 2024 to Feb 14, 2025
- Individual clients · unset to 5.0Nov 20, 2024 to Feb 14, 2025
- Assets in custody · $47.0M to $24.9MNov 20, 2024 to Feb 14, 2025
- Discretionary RAUM · $204M to $217MNov 20, 2024 to Feb 14, 2025
- HNW RAUM · $176M to $200MNov 20, 2024 to Feb 14, 2025
- Individual RAUM · $705,202 to $1.2MNov 20, 2024 to Feb 14, 2025
- Non-discretionary RAUM · $3.2M to $3.8MNov 20, 2024 to Feb 14, 2025
- RAUM · $207M to $221MNov 20, 2024 to Feb 14, 2025
- Accounts · 99 to 108Dec 22, 2023 to Feb 21, 2024
- HNW clients · 26 to 28Dec 22, 2023 to Feb 21, 2024
- Assets in custody · $13.7M to $47.0MDec 22, 2023 to Feb 21, 2024
- Discretionary RAUM · $202M to $204MDec 22, 2023 to Feb 21, 2024
- HNW RAUM · $163M to $176MDec 22, 2023 to Feb 21, 2024
- Individual RAUM · $625,527 to $705,202Dec 22, 2023 to Feb 21, 2024
- Non-discretionary RAUM · $4.5M to $3.2MDec 22, 2023 to Feb 21, 2024
- RAUM · $206M to $207MDec 22, 2023 to Feb 21, 2024
- Accounts · 0 to 99May 5, 2023 to Jun 16, 2023
- HNW clients · unset to 26.0May 5, 2023 to Jun 16, 2023
Signals
2 dated events
- 2 advisors left I••••••• W••••• L•• (Clayton, CA) for P••••• W••••• P•••••••• L•• on the same dayJun 6, 2023 · Team lift-out · derived
- P••••• W••••• P•••••••• L•• filed its initial SEC registration (Form ADV)Apr 6, 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
- Principal office phone
- (925) 276-0427reportedpublic record, Form ADV, 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
- $122Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026