DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

C••••••••• W••••• A•••••••• I•••

CRD 309544

CARLSBAD, CA

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Search this name across graphsid dfx:ria:38e049a5-12b9-51f7-8446-ec1353d49ae6

Data as of Feb 13, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:27 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Apr 21, 2025 to Feb 13, 2026
4 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

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

Firm class: independent wealth managerderivedprivate_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $146M••• Locked
Discretionary RAUM: $140M
Private client RAUM: $142Mderived••• Locked
Private client share: 98%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 4
RAUM per advisor: $36.4Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
M•••••• W• S••••••	Certified Financial Planner	CARLSBAD, CA	6	19	5	no
L•••••• A• S••••••	Certified Financial Planner\|Chartered Financial Consultant	Aiken, SC \| CARLSBAD, CA	1	39

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••••• D•••••• A•••••	CHIEF EXECUTIVE OFFICER	D	yes	08/2014	Feb 13, 2026	Feb 13, 2026
S••••••• M••••••• W•	CHIEF COMPLIANCE OFFICER	C	yes	02/2014	Feb 13, 2026	Feb 13, 2026

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Feb 13, 2026

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
1	0	1	0.0%	0	0	0	3	0

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	$146M	$110M	32.2%	n/a	n/a	4	4	2	1

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
C••••••••• W••••• A•••••••• I•••	4	Oct 21, 2020	Jan 1, 2026	CARSLSBAD, CA	Firm absorbed	Other	100.0%

Relationships

Controls (2)

← S••••••• M••••••• W•OwnerCHIEF COMPLIANCE OFFICER, ownership code C, individual
Feb 13, 2026 to presentfactForm ADV
← B••••••• D•••••• A•••••OwnerCHIEF EXECUTIVE OFFICER, ownership code D, individual
Feb 13, 2026 to presentfactForm ADV

Registered with (4)

← D••••• A••••• B••••••Advisorregistration: current employment
Jan 1, 2026 to presentfactForm ADV
← L•••••• A• S••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:38e049a5-12b9-51f7-8446-ec1353d49ae6
First observed: Apr 21, 2025
Last observed: Feb 13, 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.