DFX Intelligence

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

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RIA / WealthRegistered adviserIndependent wealth managerSEC registeredRAUM 1b 10b

C••••••••• • A•••••••••

C••••••••• • A•••••••••, THE WEALTH MANAGEMENT TEAM, INC., CRD 132295

ANAHEIM, CA

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Search this name across graphs

Data as of Mar 20, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:19 PM UTC and rebuilt at most every 15 minutes.

Relationships: 17
Dated events: 9
On other graphs: 0
Observed: Mar 22, 2012 to Mar 20, 2026
37 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=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=6.0
Regulatory AUM: $1.3B••• Locked
Discretionary RAUM: $399M
Private client RAUM: $1.3Bderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 7
RAUM per advisor: $190Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
R••••• D• C•••••••••	Certified Financial Planner\|Chartered Financial Consultant	ANAHEIM, CA	1	31	2	yes
K••• P•••••• S••••••••	Certified Financial Planner\|Chartered Financial Consultant	ANAHEIM, CA	1	29

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••••••• R•••••• D•	President	E	yes	07/2004	Mar 20, 2026	Mar 20, 2026
M•••••• A••••••• K•••••	CHIEF COMPLIANCE OFFICER	Na	yes	07/2023	Aug 10, 2023	Aug 21, 2024

Regulatory AUM by fiscal year

••• Locked

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

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	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	$1.3B	$1.2B	13.2%	$944M	12.1%	31	34	0	0

Relationships

Controls (2)

← C••••••••• R•••••• D•OwnerPRESIDENT, ownership code E, individual
Mar 20, 2026 to presentfactForm ADV
← M•••••• A••••••• K•••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Aug 10, 2023 to Aug 21, 2024factForm ADV

Owns (1)

← D••••••• D••••• B••••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 20, 2026 to presentfactForm ADV

Registered with (9)

← R••••• D•••••• C•••••••••

Dated events

1 bookkeeping event (roster, classification and holdings changes) folded below

Order

Occurred
20 Mar 2026
Ria principal change2 events
C••••••••• • A•••••••••: ria principal change, 2 events, on 20 Mar 2026
- ••• Locked
- ••• Locked
Occurred
10 Aug 2023
Control person left
••• Locked
Form ADV
Occurred
10 Aug 2023
Control person joined
••• Locked
Form ADV
Occurred
3 Mar 2023
Control person left
••• Locked
Form ADV
Occurred
3 Mar 2023
Control person joined
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 22, 2012
Last observed: Mar 20, 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.

All 15 rows

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Feb 25, 2016	$515M	$0	6	5	n/a	n/a	n/a
2014	Mar 3, 2015	$496M	$0	7	5	n/a	n/a	n/a
2013	Mar 12, 2014	$445M	$0	9	9	n/a	n/a	n/a
2012	Mar 26, 2013	$375M	$0	9	4	n/a	n/a	n/a
2011	Mar 22, 2012	$335M	$0	n/a	n/a	n/a	n/a	n/a