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•••• G••••• F••••• O••••••
Legal name A•••••••• A•••••••• L••
Latest filing Jul 10, 2026
First filing on the tape Jul 28, 2025 · 9 filings
SEC status approved since Jul 8, 2025
RAUM
$146M
reported, Item 5.F
Discretionary
85%
of RAUM
Private clients
59%
$85.8M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$146M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$146M as of Jul 10, 2026
Jul 28, 2025$0 then
HNW client RAUM$85.8M as of Jul 10, 2026
Nov 14, 2025$84.6M then
State-registered IARs (5.B.3)1 as of Jul 10, 2026
Jul 28, 20251 then
Employees (5.A)3 as of Jul 10, 2026
Jul 28, 20252 then
Private funds: 2
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jul 10, 2026; every figure names its basis
Archetypes, each a printed rule
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $146MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 7derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $12.3MderivedHNW RAUM over HNW clients
- Average account
- $4.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 85%derivedof RAUM
- Institutional
- 3.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 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 fees, subscription, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for pooled vehicles, 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$85.8M59%
- Corporations and businesses$45.9M31%
- Pooled investment vehicles$8.7M5.9%
- Charitable organizations$5.7M3.9%
- Individual clients
- 0reported
- HNW clients
- 7reported
- Pension plan clients
- 0reported
- Charitable clients
- 1reported
- Accounts
- 30reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.59 fund_share=0.06 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| F•••• D••• | Palo Alto, Ca | Jul 10, 2025 | 27 y | 3 |
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
- F•••• D••• from U•• F•••••••• S••••••• I•••Jul 10, 2025 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••• F•••• · Managing Member And Chief Compliance Officercontrolsince 07/2025 · owns 75% or more
- B••••• P••••••• J••••• · General Counselsince 07/2025 · owns less than 5%
- W•••• X••••••• · Membersince 06/2025 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Jul 10, 2026advises private funds (Item 7.B): no on the filing of 2026-06-15, yes on the filing of 2026-07-10peers: independent wealth managers, $100M to $500M (5,678)
- business activity changedChange between filings · filing Jul 10, 2026portfolio management for pooled vehicles (Item 5.G.4): no on the filing of 2026-06-15, yes on the filing of 2026-07-10peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 34 to 30Jun 15, 2026 to Jul 10, 2026
- Advisory employees · 1 to 2Jun 15, 2026 to Jul 10, 2026
- Advisory activities · 2 to 3Jun 15, 2026 to Jul 10, 2026
- HNW clients · 5 to 7Jun 15, 2026 to Jul 10, 2026
- Pooled vehicle clients · 0 to 2Jun 15, 2026 to Jul 10, 2026
- Employees · 2 to 3Jun 15, 2026 to Jul 10, 2026
- Private funds · unset to 2Jun 15, 2026 to Jul 10, 2026
- Discretionary RAUM · $103M to $124MJun 15, 2026 to Jul 10, 2026
- HNW RAUM · $26.4M to $85.8MJun 15, 2026 to Jul 10, 2026
- Non-discretionary RAUM · $4.2M to $22.1MJun 15, 2026 to Jul 10, 2026
- Pooled vehicle RAUM · $0 to $8.7MJun 15, 2026 to Jul 10, 2026
- RAUM · $107M to $146MJun 15, 2026 to Jul 10, 2026
- Accounts · 25 to 34Jan 6, 2026 to Mar 24, 2026
- Corporate clients · 0 to 2Jan 6, 2026 to Mar 24, 2026
- Employees · 1 to 2Jan 6, 2026 to Mar 24, 2026
- Discretionary RAUM · $98.6M to $103MJan 6, 2026 to Mar 24, 2026
- HNW RAUM · $53.8M to $26.4MJan 6, 2026 to Mar 24, 2026
- Non-discretionary RAUM · $5.0M to $4.2MJan 6, 2026 to Mar 24, 2026
- RAUM · $104M to $107MJan 6, 2026 to Mar 24, 2026
- Accounts · 28 to 25Nov 14, 2025 to Dec 8, 2025
- Advisory activities · 3 to 2Nov 14, 2025 to Dec 8, 2025
- Business name · A•••• G••••• F••••• O•••••• L•• to A•••• G••••• F••••• O••••••Nov 14, 2025 to Dec 8, 2025
- HNW clients · 4 to 5Nov 14, 2025 to Dec 8, 2025
- Discretionary RAUM · $89.9M to $98.6MNov 14, 2025 to Dec 8, 2025
- HNW RAUM · $84.6M to $53.8MNov 14, 2025 to Dec 8, 2025
- Non-discretionary RAUM · $0 to $5.0MNov 14, 2025 to Dec 8, 2025
- RAUM · $89.9M to $104MNov 14, 2025 to Dec 8, 2025
- Accounts · 0 to 28Aug 8, 2025 to Nov 14, 2025
- Charity clients · unset to 1.0Aug 8, 2025 to Nov 14, 2025
- Corporate clients · unset to 0.0Aug 8, 2025 to Nov 14, 2025
- HNW clients · unset to 4.0Aug 8, 2025 to Nov 14, 2025
- Individual clients · unset to 0.0Aug 8, 2025 to Nov 14, 2025
- Pension plan clients · unset to 0.0Aug 8, 2025 to Nov 14, 2025
- Pooled vehicle clients · unset to 0.0Aug 8, 2025 to Nov 14, 2025
- Commission compensation · true to falseAug 8, 2025 to Nov 14, 2025
- Financial planning clients · 0 to 0Aug 8, 2025 to Nov 14, 2025
- Legal name · A•••• G••••• F••••• O•••••• L•• to A•••••••• A•••••••• L••Aug 8, 2025 to Nov 14, 2025
- Discretionary RAUM · $0 to $89.9MAug 8, 2025 to Nov 14, 2025
- HNW RAUM · unset to 84596476.0Aug 8, 2025 to Nov 14, 2025
- Individual RAUM · unset to 0.0Aug 8, 2025 to Nov 14, 2025
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- A•••• G••••• F••••• O•••••• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/ardenwood-advisorsreportedpublic record, Form ADV, Sep 21, 2026
- Website
- AWADVISOR.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 650-808-0875reportedpublic record, Form ADV, Jul 10, 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
- $146Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026