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.
SEC-registered adviser
Thryve Wealth Management
Legal name Thryve Wealth Management LLC
Latest filing Apr 15, 2026
First filing on the tape May 27, 2025 · 7 filings
SEC status approved since May 9, 2025
RAUM
$304M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
95%
$290M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$76.0M
derived; firm RAUM over IAPD count
Employees
9
4 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$304M as of Apr 15, 2026
May 27, 2025$179M then
HNW client RAUM$279M as of Apr 15, 2026
May 27, 2025$176M then
State-registered IARs (5.B.3)4 as of Apr 15, 2026
May 27, 20255 then
Employees (5.A)9 as of Apr 15, 2026
May 27, 202513 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Apr 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
- $76.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 21derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.8MderivedHNW RAUM over HNW clients
- Average account
- $683,112derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 4.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 1.3derived3 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 assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 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)
- 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$279M92%
- Individuals$10.6M3.5%
- Pension and profit-sharing plans$7.7M2.5%
- Charitable organizations$6.4M2.1%
- Individual clients
- 26reported
- HNW clients
- 58reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 445reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.05 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Eric P CallahanCertified Financial Planner | Santa Barbara, Ca | Oct 16, 2025 | 15 y | 3 |
| Randol Wilson CurtisChartered Financial Analyst | Jackson, Wy | Oct 16, 2025 | 31 y | 1 |
| Gary Keith Dorfman | Santa Barbara, Ca | Oct 16, 2025 | 40 y | 7 |
| John Desmond Bell | Santa Barbara, Ca | Oct 17, 2025 | 10 y | 2 |
Advisor movement
0 left, 4 joined in 12 months
net +4 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
- John Desmond Bell from Strive Asset ManagementOct 17, 2025 · Other
- Randol Wilson Curtis from One Capital Management, LLCOct 16, 2025 · RIA to RIA
- Gary Keith Dorfman from Strive Asset ManagementOct 16, 2025 · Other
- Eric P Callahan from J.P. Morgan Securities LLCOct 16, 2025 · Wirehouse to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from Strive Asset ManagementOct 10, 2025 · Dallas, Tx
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Wilson Randol Curtis · Chief Investment Officercontrolsince 08/2025 · owns less than 5%
- Keith Gary Dorfman · Chief Executive Officercontrolsince 09/2025 · owns 75% or more
- Patricia Nicole Saragosa · Chief Compliance Officercontrolsince 10/2025 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Santa Barbara, Ca · principal | 4 | 4 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 229 to 445Jan 7, 2026 to Mar 23, 2026
- HNW clients · 32 to 58Jan 7, 2026 to Mar 23, 2026
- Individual clients · unset to 26.0Jan 7, 2026 to Mar 23, 2026
- Employees · 8 to 9Jan 7, 2026 to Mar 23, 2026
- Financial planning clients · 26-50 to 11-25Jan 7, 2026 to Mar 23, 2026
- HQ city · IRVING to SANTA BARBARAJan 7, 2026 to Mar 23, 2026
- HQ state · TX to CAJan 7, 2026 to Mar 23, 2026
- Discretionary RAUM · $179M to $292MJan 7, 2026 to Mar 23, 2026
- HNW RAUM · $176M to $279MJan 7, 2026 to Mar 23, 2026
- Individual RAUM · $2.6M to $10.6MJan 7, 2026 to Mar 23, 2026
- Non-discretionary RAUM · $0 to $12.0MJan 7, 2026 to Mar 23, 2026
- Pension RAUM · unset to 7719072.0Jan 7, 2026 to Mar 23, 2026
- RAUM · $179M to $304MJan 7, 2026 to Mar 23, 2026
- Advisory employees · 5 to 4Aug 13, 2025 to Oct 17, 2025
- Advisory activities · 3 to 5Aug 13, 2025 to Oct 17, 2025
- Business name · STRIVE WEALTH MANAGEMENT, LLC to THRYVE WEALTH MANAGEMENTAug 13, 2025 to Oct 17, 2025
- Employees · 13 to 8Aug 13, 2025 to Oct 17, 2025
- HQ city · DALLAS to IRVINGAug 13, 2025 to Oct 17, 2025
- State-registered IARs · 5 to 4Aug 13, 2025 to Oct 17, 2025
- Legal name · STRIVE WEALTH MANAGEMENT, LLC to THRYVE WEALTH MANAGEMENT LLCAug 13, 2025 to Oct 17, 2025
- Other offices · 3 to 2Aug 13, 2025 to Oct 17, 2025
- Related adviser · true to falseAug 13, 2025 to Oct 17, 2025
Signals
2 dated events
- Thryve Wealth Management reported RAUM $304.0M, up 70% from $179.1M (2026-01-07 to 2026-03-23)Mar 23, 2026 · RAUM change · derived
- 2 advisors left Strive Asset Management (Dallas, TX) for Thryve Wealth Management on the same dayOct 10, 2025 · Team lift-out · derived
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/thryve-wealth-management/posts/?feedViereportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 805-451-2909reportedpublic record, Form ADV, Apr 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
- $76.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026