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
H••••• W••••• M•••••••••
Legal name H••••• W••••• M••••••••• L••
Latest filing Mar 23, 2026
First filing on the tape Sep 8, 2025 · 3 filings
SEC status approved since Sep 3, 2025
RAUM
$126M
reported, Item 5.F
Discretionary
85%
of RAUM
Private clients
100%
$125M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$41.9M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$126M as of Mar 23, 2026
Sep 8, 2025$0 then
HNW client RAUM$111M as of Mar 23, 2026
Jan 2, 2026$108M then
State-registered IARs (5.B.3)3 as of Mar 23, 2026
Sep 8, 20252 then
Employees (5.A)3 as of Mar 23, 2026
Sep 8, 20252 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 23, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $41.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 19derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.3MderivedHNW RAUM over HNW clients
- Average account
- $650,524derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 85%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
- 3.0derived1 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 individuals, 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$111M88%
- Individuals$14.0M11%
- Corporations and businesses$556,9310.4%
- Individual clients
- 24reported
- HNW clients
- 34reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 193reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• M••••••• W••••••••• | Lafayette, Ca | Sep 3, 2025 | 26 y | 2 |
| C•••• M••••••• A••••Chartered Financial Analyst | Lafayette, Ca | Sep 3, 2025 | 19 y | 3 |
| V••••• A••••••• H••••••••• | Lafayette, Ca | Dec 9, 2025 | 12 y | 3 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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
- V••••• A••••••• H••••••••• from H••••• A••••••• L••Dec 9, 2025 · RIA to a newly registered adviser
- C•••• M••••••• A•••• from H••••• A••••••• L••Sep 3, 2025 · RIA to a newly registered adviser
- R••••• M••••••• W••••••••• from H••••• A••••••• L••Sep 3, 2025 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from H••••• A••••••• L••Aug 18, 2025 · Everett, Wa
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W••••••••• R•••••• M••••••• · Managing Membercontrolsince 08/2025 · owns less than 5%
Entity owners
- O••••• P••••••• L•• · Parent Company Officerdirect · owns 75% or more
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 |
|---|---|---|---|---|---|
| Lafayette, Ca · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 162 to 193Jan 2, 2026 to Mar 23, 2026
- HNW clients · 31 to 34Jan 2, 2026 to Mar 23, 2026
- Individual clients · 18 to 24Jan 2, 2026 to Mar 23, 2026
- Financial planning clients · 0 to 26-50Jan 2, 2026 to Mar 23, 2026
- Discretionary RAUM · $102M to $107MJan 2, 2026 to Mar 23, 2026
- HNW RAUM · $108M to $111MJan 2, 2026 to Mar 23, 2026
- Individual RAUM · $11.8M to $14.0MJan 2, 2026 to Mar 23, 2026
- Non-discretionary RAUM · $17.7M to $19.0MJan 2, 2026 to Mar 23, 2026
- RAUM · $120M to $126MJan 2, 2026 to Mar 23, 2026
- Accounts · 0 to 162Sep 8, 2025 to Jan 2, 2026
- Advisory employees · 2 to 3Sep 8, 2025 to Jan 2, 2026
- Charity clients · unset to 0.0Sep 8, 2025 to Jan 2, 2026
- Corporate clients · unset to 1.0Sep 8, 2025 to Jan 2, 2026
- HNW clients · unset to 31.0Sep 8, 2025 to Jan 2, 2026
- Individual clients · unset to 18.0Sep 8, 2025 to Jan 2, 2026
- Pension plan clients · unset to 0.0Sep 8, 2025 to Jan 2, 2026
- Pooled vehicle clients · unset to 0.0Sep 8, 2025 to Jan 2, 2026
- Employees · 2 to 3Sep 8, 2025 to Jan 2, 2026
- State-registered IARs · 2 to 3Sep 8, 2025 to Jan 2, 2026
- Discretionary RAUM · $0 to $102MSep 8, 2025 to Jan 2, 2026
- HNW RAUM · unset to 107696271.0Sep 8, 2025 to Jan 2, 2026
- Individual RAUM · unset to 11775157.0Sep 8, 2025 to Jan 2, 2026
- Non-discretionary RAUM · $0 to $17.7MSep 8, 2025 to Jan 2, 2026
- Pension RAUM · unset to 0.0Sep 8, 2025 to Jan 2, 2026
- Pooled vehicle RAUM · unset to 0.0Sep 8, 2025 to Jan 2, 2026
- RAUM · $0 to $120MSep 8, 2025 to Jan 2, 2026
Signals
1 dated events
- 2 advisors left H••••• A••••••• L•• (Everett, WA) for H••••• W••••• M••••••••• on the same dayAug 18, 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
- Principal office phone
- 408 314 7895reportedpublic record, Form ADV, Mar 23, 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
- $41.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026