DFX Intelligence

C•••••• W••••• S•••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

C•••••• W••••• S•••••••• L••

CRD 288992

PALM DESERT, CA

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Search this name across graphsid dfx:ria:14692f42-0bb3-10c8-4f85-782e7403832c

Data as of Feb 6, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:30 PM UTC and rebuilt at most every 15 minutes.

Relationships: 34
Dated events: 9
On other graphs: 1
Observed: Jun 17, 2017 to Feb 6, 2026
53 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

C•••••• W••••• S•••••••• L••

Intermediary · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.95 fund_share=0.0 institutional_share=0.04 related_bd=true related_bank=false bd_reps=7.0
Regulatory AUM: $1.3B••• Locked
Discretionary RAUM: $1.3B
Private client RAUM: $1.3Bderived••• Locked
Private client share: 95%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 14
RAUM per advisor: $95.7Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
D•••• R••••• T•••••••	Certified Financial Planner	PALM DESERT, CA	9	18	4	yes
P•••• E•••••••• S•••••••	n/a	PALM DESERT, CA	9	28

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••••••• S••••••• R•••	PARTNER & SENIOR FINANCIAL ADVISOR	Na	yes	06/2017	Feb 6, 2026	Feb 6, 2026
C•••••• G•••• W••••• A••••••••	MANAGING MEMBER	C	yes	06/2017	Feb 6, 2026	Feb 6, 2026

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Anchorage	Ak	United States	1	yes

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
2	0	2	0.0%	0	0	0	5	1

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$1.3B	$966M	38.7%	$677M	25.5%	21	14	1	1

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
K••••••• P•••••• W•••••	2	Sep 2, 2021	Sep 2, 2021	PALM DESERT, CA	Team lift out	RIA to RIA	18.2%

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
P•••••• W••••• M••••••••• L••	2	Apr 21, 2025	Apr 21, 2025	BURLINGAME, CA	Team lift out	RIA to RIA	2.5%
I••••••••• W••••• M••••••••• I•••	7	Dec 31, 2017	Jul 19, 2017

Relationships

Registered with (21)

← J•••• M•••••• B•••Advisorregistration: current employment
Feb 16, 2026 to presentfactForm ADV
← B•••••• J•• A••••Advisorregistration: current employment
Feb 10, 2026 to presentfactForm ADV
← D•••••• G•••••• L•••••Advisorregistration: current employment
Apr 21, 2025 to presentfactForm ADV
← W•••••• A••• G•••••

Dated events

Occurred
Feb 6, 2026
Regulatory AUM changed
C•••••• W••••• S•••••••• L•• reported RAUM $1.3B, up 39% from $965.5M (2025-09-30 to 2026-02-06)
Form ADVobserved 7 days ago
$374M
Occurred
Apr 21, 2025
Team lift-out
2 advisors left P•••••• W••••• M••••••••• L•• (Burlingame, CA) for C•••••• W••••• S•••••••• L•• on the same day
Form ADVobserved 7 days ago
2 advisors
Occurred
Mar 4, 2024
Advisor changed firm
Leigh Burwell Smith left C•••••• W••••• S•••••••• L•• for Insight Folios (registered 2024-02-28)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:14692f42-0bb3-10c8-4f85-782e7403832c
First observed: Jun 17, 2017
Last observed: Feb 6, 2026 7 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.