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
Wulff, Hansen & Co.
Latest filing Jul 10, 2026
First filing on the tape Mar 16, 2012 · 14 filings
SEC status approved since Jul 15, 2022
RAUM
$145M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
91%
$131M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$36.2M
derived; firm RAUM over IAPD count
Employees
9
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$145M as of Jul 10, 2026
Mar 16, 2012$58.9M then
HNW client RAUM$106M as of Jul 10, 2026
Mar 17, 2023$80.7M then
State-registered IARs (5.B.3)3 as of Jul 10, 2026
Mar 16, 20120 then
Employees (5.A)9 as of Jul 10, 2026
Mar 17, 202310 then
Private funds: no history
RAUM +9.3% over the last fiscal year+10.0% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Jul 10, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $36.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 34derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $1.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 9.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.6%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 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
- is a broker-dealer (6.A.1)
- 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$106M73%
- Individuals$25.9M18%
- Charitable organizations$12.1M8.4%
- Pension and profit-sharing plans$1.3M0.9%
- Individual clients
- 71reported
- HNW clients
- 65reported
- Pension plan clients
- n/areported
- Charitable clients
- 5reported
- Accounts
- 143reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.91 fund_share=0.0 institutional_share=0.09 related_bd=true related_bank=false bd_reps=8.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Christopher Donald Charles | San Rafael, Ca | Jul 8, 1997 | 46 y | 0 |
| Dennis Henry Steinkamp | San Rafael, Ca | Jul 8, 1997 | 41 y | 0 |
| Nicolas Santoyo | San Rafael, Ca | May 31, 2022 | 11 y | 0 |
| Dana Elizabeth Schmidt | San Rafael, Ca | Jul 25, 2022 | 34 y | 2 |
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
- Dana Elizabeth Schmidt from Jordan Park Group LLCJul 25, 2022 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Christopher Donald Charles · President, Cco Chief Compliance Officercontrolsince 07/2002 · owns 75% or more
- Kim B Tu · Cfo/Poo For Regulatory Purposes Onlycontrolsince 10/2019 · owns less than 5%
- Robert John Pankratz · Municipal Advisor Representative, Director Of Operations, Vice Presidentsince 08/2022 · owns 5% to 10%
- Dennis Henry Steinkamp · Senior Vice Presidentsince 08/2000 · owns 5% to 10%
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 |
|---|---|---|---|---|---|
| San Rafael, Ca · principal | 4 | 0 | 0 | ||
| Lodi, Ca | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Lodi, CA2 employees
What changed
consecutive filings, newest first
- Accounts · 138 to 143Mar 26, 2025 to Mar 24, 2026
- Charity clients · 6 to 5Mar 26, 2025 to Mar 24, 2026
- HNW clients · 64 to 65Mar 26, 2025 to Mar 24, 2026
- Individual clients · 66 to 71Mar 26, 2025 to Mar 24, 2026
- Discretionary RAUM · $133M to $145MMar 26, 2025 to Mar 24, 2026
- HNW RAUM · $95.7M to $106MMar 26, 2025 to Mar 24, 2026
- Individual RAUM · $24.6M to $25.9MMar 26, 2025 to Mar 24, 2026
- Pension RAUM · $1.0M to $1.3MMar 26, 2025 to Mar 24, 2026
- RAUM · $133M to $145MMar 26, 2025 to Mar 24, 2026
- Accounts · 146 to 138Oct 17, 2024 to Mar 26, 2025
- HNW clients · 63 to 64Oct 17, 2024 to Mar 26, 2025
- Individual clients · 75 to 66Oct 17, 2024 to Mar 26, 2025
- Employees · 10 to 9Oct 17, 2024 to Mar 26, 2025
- Financial planning clients · 0 to 0Oct 17, 2024 to Mar 26, 2025
- Discretionary RAUM · $124M to $133MOct 17, 2024 to Mar 26, 2025
- HNW RAUM · $87.9M to $95.7MOct 17, 2024 to Mar 26, 2025
- Individual RAUM · $25.2M to $24.6MOct 17, 2024 to Mar 26, 2025
- Pension RAUM · $757,998 to $1.0MOct 17, 2024 to Mar 26, 2025
- RAUM · $124M to $133MOct 17, 2024 to Mar 26, 2025
- Accounts · 139 to 146Mar 17, 2023 to Mar 18, 2024
- HNW clients · 73 to 63Mar 17, 2023 to Mar 18, 2024
- Individual clients · 58 to 75Mar 17, 2023 to Mar 18, 2024
- Pension plan clients · 2.0 to unsetMar 17, 2023 to Mar 18, 2024
- Discretionary RAUM · $109M to $124MMar 17, 2023 to Mar 18, 2024
- HNW RAUM · $80.7M to $87.9MMar 17, 2023 to Mar 18, 2024
- Individual RAUM · $18.3M to $25.2MMar 17, 2023 to Mar 18, 2024
- Pension RAUM · $713,988 to $757,998Mar 17, 2023 to Mar 18, 2024
- RAUM · $109M to $124MMar 17, 2023 to Mar 18, 2024
- Accounts · 132 to 139Jul 18, 2022 to Mar 17, 2023
- BD registered reps · 7 to 8Jul 18, 2022 to Mar 17, 2023
- HNW clients · 72 to 73Jul 18, 2022 to Mar 17, 2023
- Individual clients · 52 to 58Jul 18, 2022 to Mar 17, 2023
- Employees · 9 to 10Jul 18, 2022 to Mar 17, 2023
- Discretionary RAUM · $126M to $109MJul 18, 2022 to Mar 17, 2023
- HNW RAUM · $98.3M to $80.7MJul 18, 2022 to Mar 17, 2023
- Individual RAUM · $16.3M to $18.3MJul 18, 2022 to Mar 17, 2023
- Pension RAUM · $857,708 to $713,988Jul 18, 2022 to Mar 17, 2023
- RAUM · $126M to $109MJul 18, 2022 to Mar 17, 2023
- Accounts · 51 to 132May 11, 2012 to Jun 16, 2022
- Advisory employees · unset to 3.0May 11, 2012 to Jun 16, 2022
Signals
3 dated events
- Kim B Tu (Cfo/Poo For Regulatory Purposes Only) appeared on Schedule A of Wulff, Hansen & Co.Jun 16, 2022 · Control person joined · fact
- Alan Eugene Cook (Financial & Operations Principal/(Cfo For Regulatory Purposes)) no longer on Schedule A of Wulff, Hansen & Co. (listed 2012-05-11, absent 2022-06-16)Jun 16, 2022 · Control person left · inference
- Wulff, Hansen & Co. filed its initial SEC registration (Form ADV)Jun 16, 2022 · 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
- Website
- wulffcapital.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 415-421-8900reportedpublic 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
- $36.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026