DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

T•••• W••••• S••••••••

Independent wealth managerSEC-registered· Los Altos, Californiawebsite

Independent wealth manager, based in Los Altos, California, reporting $148M of regulatory assets across 1 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

Regulatory AUM
$148M
Form ADV
Advisors
1
IAPD
Net advisor flow, 12 months
0 (0 in, 0 out)
IAPD registration history
Private clients
95% of RAUM, $140M
Form ADV
Advisors (1)Advisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. No dated change on record yet.

Every filed figure, and the identifiersCRD 327794 · SEC 801-136043 · 2 filingsShow
CRD 327794SEC 801-136043Legal name T•••• W••••• S••••••••• I•••First filing on the tape Mar 27, 2026, latest May 5, 2026SEC status approved since Apr 27, 2026IAPD
RAUM
$148M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$140M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$148M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$148M as of May 5, 2026
Mar 27, 2026$148M then
HNW client RAUM$130M as of May 5, 2026
Mar 27, 2026$130M then
State-registered IARs (5.B.3)1 as of May 5, 2026
Mar 27, 20261 then
Employees (5.A)2 as of May 5, 2026
Mar 27, 20262 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of May 5, 2026; every figure names its basis
Archetypes
The rule behind each archetype, and every derived figure2 rulesShow
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
  • Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
RAUM per advisor
$148MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
80derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.2MderivedHNW RAUM over HNW clients
Average account
$954,839derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
5.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 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, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Wrap fee program
$148MreportedItem 5.I
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$130M88%
  • Individuals$10.0M6.8%
  • Charitable organizations$8.0M5.4%
Individual clients
20reported
HNW clients
60reported
Pension plan clients
0reported
Charitable clients
2reported
Accounts
155reported
Financial planning clients
1-10reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
private_client_share=0.95 fund_share=0.0 institutional_share=0.05 related_bd=false related_bank=false bd_reps=1.0derived
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
    Every departureEvery arrival
    Advisors registered through the firm
    1 on IAPD today; the 10 longest tenured
    NameBranchHere sinceIn industryPrior firms
    I•••• J••••• T•••••Los Altos, CaNov 27, 202327 y1
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • T•••••• I••••• J••••• · Owner & Chief Compliance Officercontrol
      since 07/2023 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    One filing, no change to show.
    Signals
    No event on the tape.
    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 email
    ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
    Business phone
    ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
    Business phone
    ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
    Website
    ••• Lockedreportedpublic record, Form ADV, May 5, 2026
    Principal office phone
    ••• Lockedreportedpublic record, Form ADV, May 5, 2026
    Contact form
    ••• Lockedreportedpublished by the firm, firm site, Sep 17, 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
    $148Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026

    Not yet on record: RAUM change, last fiscal year.