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
A•••• B••• C••••••
Legal name A•••• B••• C•••••• M••••••••• L•
Latest filing Sep 4, 2026
First filing on the tape Sep 8, 2023 · 5 filings
SEC status approved since Oct 10, 2023
RAUM
$12.5M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$6.3M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$10.9M as of Feb 25, 2026
Jan 14, 2024$4.2M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Feb 25, 2026
Jan 14, 20241 then
Employees (5.A)2 as of Feb 25, 2026
Jan 14, 20241 then
Private funds: no history
RAUM +16% over the last fiscal yearIARs 1 to 2
Practice profile
derived from the filing of Sep 4, 2026; every figure names its basis
- RAUM per advisor
- $6.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $12.5MderivedRAUM 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
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +0.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- portfolio management for investment companiesreportedItem 5.G
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$12.5M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• M•••••• D•••••Chartered Financial Analyst | Greenbrae, Ca | Dec 3, 2024 | 31 y | 2 |
| J••••• B• D••••• | Greenbrae, Ca | Aug 12, 2025 | 12 y | 0 |
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•••• M•••••• D••••• from B••••• P•••••••Dec 3, 2024 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••• D••••• M•••••• · Managing Partner And Chief Compliance Officercontrolsince 02/2023 · owns less than 5%
- D•••••• D••••• M•••••• · Managing Membercontrolsince 08/2020 · owns 50% to 75% of A•••• B•••• L••
- D•••••• D••••• M•••••• · Trusteecontrolsince 12/1997 · owns 50% to 75% of D••••• 1••• F••••• T••••
- D•••••• R••••• B• · Membercontrolsince 08/2020 · owns 50% to 75% of A•••• B•••• L••
- D•••••• R••••• B• · Trusteecontrolsince 12/1997 · owns 50% to 75% of D••••• 1••• F••••• T••••
- D•••••• J•••••• B• · Limited Partnersince 09/2023 · owns 10% to 25%
- D•••••• R•••••• B• · Limited Partnersince 09/2023 · owns 10% to 25%
Entity owners
- A•••• B•••• L•• · General Partnerdirect · owns less than 5%
- D••••• 1••• F••••• T•••• · Limited Partnerdirect · owns 75% or more
Related persons
Schedule D 7.A
- A•••• B•••• L••pooled vehicle sponsorn
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Greenbrae, Ca | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · to unsetFeb 25, 2026 to Sep 4, 2026
- HQ city · to unsetFeb 25, 2026 to Sep 4, 2026
- HQ state · to unsetFeb 25, 2026 to Sep 4, 2026
- State-registered IARs · 1 to 2Feb 25, 2026 to Sep 4, 2026
- Discretionary RAUM · $10.9M to $12.5MFeb 25, 2026 to Sep 4, 2026
- RAUM · $10.9M to $12.5MFeb 25, 2026 to Sep 4, 2026
- Succession · false to unsetFeb 25, 2026 to Sep 4, 2026
- Discretionary RAUM · $10.8M to $10.9MFeb 17, 2025 to Feb 25, 2026
- RAUM · $10.8M to $10.9MFeb 17, 2025 to Feb 25, 2026
- Advisory employees · 1 to 2Jan 14, 2024 to Feb 17, 2025
- Employees · 1 to 2Jan 14, 2024 to Feb 17, 2025
- Financial planning clients · unset to Jan 14, 2024 to Feb 17, 2025
- HQ city · unset to Jan 14, 2024 to Feb 17, 2025
- HQ state · unset to Jan 14, 2024 to Feb 17, 2025
- Discretionary RAUM · $4.2M to $10.8MJan 14, 2024 to Feb 17, 2025
- RAUM · $4.2M to $10.8MJan 14, 2024 to Feb 17, 2025
- Accounts · unset to 1.0Sep 8, 2023 to Jan 14, 2024
- Discretionary RAUM · unset to 4200000.0Sep 8, 2023 to Jan 14, 2024
- Non-discretionary RAUM · unset to 0.0Sep 8, 2023 to Jan 14, 2024
- RAUM · unset to 4200000.0Sep 8, 2023 to Jan 14, 2024
Signals
1 dated events
- A•••• B••• C•••••• filed its initial SEC registration (Form ADV)Sep 8, 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/alpha-blue/aboutreportedpublic record, Form ADV, Sep 18, 2026
- Firm profile
- linkedin.com/company/alpha-blue-llc/aboutreportedpublic record, Form ADV, Sep 18, 2026
- Website
- alphabluellc.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 415-948-4330reportedpublic record, Form ADV, Sep 4, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $6.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026