DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

E•••• W••••• M••••••••• L••

CRD 304321

SAN DIEGO, CA

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Search this name across graphsid dfx:ria:c62628f7-09e5-9ab2-859d-b2ddc6a09741

Data as of Mar 19, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:45 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 3
On other graphs: 1
Observed: May 22, 2019 to Mar 19, 2026
19 observations

Across DFX

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

Private Equityidentity

E•••• W••••• M••••••••• 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=0.96 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $339M••• Locked
Discretionary RAUM: $329M
Private client RAUM: $325Mderived••• Locked
Private client share: 96%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $113Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
S•••• R••••• B•••••••	Personal Financial Specialist	SAN DIEGO, CA	7	23	1	no
F••••• M•••••• W••••••	n/a	SAN DIEGO, CA	7	19

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••••••• S••••• R•••••	MANAGING MEMBER	D	yes	04/2019	May 22, 2019	Mar 1, 2024
W••••••• F•••••• M••••••	CHIEF COMPLIANCE OFFICER (MANAGING MEMBER)	D	yes	04/2019	May 22, 2019	Mar 1, 2024

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
1	1	0	33.3%	0	0	0	2	2

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	$339M	$322M	5.2%	$264M	8.7%	6	5	0	0

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
C••••••••• W••••• M•••••••••	2	Jun 5, 2019	Aug 17, 2019	SAN DIEGO, CA	Team lift out	RIA to new firm	66.7%

Relationships

Registered with (5)

← N• A•••••••• A••••Advisorregistration: current employment
Jun 10, 2026 to presentfactForm ADV
← S•••• R••••• B•••••••Advisorregistration: current employment
Aug 17, 2019 to presentfactForm ADV
← F••••• M•••••• W••••••Advisorregistration: current employment
Aug 17, 2019 to presentfactForm ADV
← L••• N•• V•••• d• Q••••••

Dated events

Occurred
Jun 3, 2026
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
May 5, 2025
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
May 22, 2019
First Form ADV filing
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c62628f7-09e5-9ab2-859d-b2ddc6a09741
First observed: May 22, 2019
Last observed: Mar 19, 2026 6 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.