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.

Former SEC-registered adviser

West Coast Financial, LLC

Former SEC-registered adviserSanta Barbara, CaliforniaCRD 104677SEC 801-19093websiteIAPD
Latest filing Mar 20, 2025
First filing on the tape Mar 26, 2012 · 28 filings
SEC status approved since Jun 17, 1983
RAUM
$1.8B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$1.7B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
42
27 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
5
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$1.8B as of Mar 20, 2025
Mar 26, 2012$362M then
HNW client RAUM$1.6B as of Mar 20, 2025
Mar 28, 2018$699M then
State-registered IARs (5.B.3)25 as of Mar 20, 2025
Mar 26, 20120 then
Employees (5.A)42 as of Mar 20, 2025
Mar 11, 201310 then
Private funds5 as of Mar 20, 2025
Mar 29, 20171 then
RAUM -3.2% over the last fiscal year+3.9% a year over threeIARs 23 to 25
Practice profile
derived from the filing of Mar 20, 2025; every figure names its basis
RAUM per advisor
$73.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
29derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.8MderivedHNW RAUM over HNW clients
Average account
$880,664derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
2.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.7derivedItem 5.A over advisors
Advisors per office
6.3derived4 offices incl. principal (1.F.5)
RAUM growth, one year
-3.2%derivedbetween the last two annual amendments
Advisor growth, one year
+8.7%derivedItem 5.B.3 between annual amendments
Client growth, one year
+2.3%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, pension consultingreportedItem 5.G
Financial planning clients
747reportedItem 5.H
Custody
$961M, 506 clientsreportedItem 9.A
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
  • 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$1.6B85%
  • Individuals$179M9.7%
  • Pooled investment vehicles$41.7M2.3%
  • Charitable organizations$20.8M1.1%
  • Corporations and businesses$18.8M1.0%
  • Pension and profit-sharing plans$16.5M0.9%
Individual clients
310reported
HNW clients
413reported
Pension plan clients
8reported
Charitable clients
n/areported
Accounts
2,088reported
Financial planning clients
747reported
Wrap fee programs
noreported
Custody of client assets
$961M for 506 clientsreported
Compensation
% of AUM, fixedreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
4 left, 0 joined in 12 months
net -4 in 12 months0 left in 90 days0 joined in 90 days22 left over 36 months
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
5 reported on Schedule D 7.B.(1)
FundTypeGross assetsOwnersFirst reported
Wcf Real Estate Fund III, LPReal Estate Fund$12.1M100Mar 21, 2022
Wcf Ozone Fund I, L.P.Real Estate Fund$9.9M35Mar 25, 2020
Wcf Real Estate Fund I, L.P.Real Estate Fund$9.1M45Sep 30, 2016
Wcf Real Estate Fund IV, L.P.Real Estate Fund$7.4M68Mar 25, 2024
Wcf Real Estate Fund II, L.P.Real Estate Fund$6.9M55Mar 25, 2020
Owners and control persons
Schedule A and B, latest filing
  • Thomas Clayton Murdy · Chief Compliance Officer, Member And Trustee Of Crls Living Trust (7/2016)control
    since 04/2019 · owns 5% to 10%
  • Elaine Jennifer Shinn · Director Of Operationscontrol
    since 06/2016 · owns less than 5%
  • A Steven Weintraub · Managing Member, Trustee Of Weintraub Revocable Living Trustcontrol
    since 09/1980 · owns 25% to 50%
  • Eugene Joseph Ferreira · Member
    since 07/2016 · owns 5% to 10%
  • Charles David Gore · Member, Trustee Of Gore Family Trust
    since 01/2011 · owns 5% to 10%
  • Elizabeth Kristen Koch · Member, Trustee Of Kristen Koch Revocable Trust
    since 07/2016 · owns 10% to 25%
Entity owners
  • Weintraub Revocable Living Trust · Member
    direct · owns 25% to 50%
  • Crls Living Trust · Member
    direct · owns 5% to 10%
  • Gore Family Trust · Member
    direct · owns 5% to 10%
  • Kristen Koch Revocable Trust · Member
    direct · owns 10% to 25%
Related persons
Schedule D 7.A
  • Wcf Re Associates III LLC
    pooled vehicle sponsory
  • Wcf Re Associates IV LLC
    pooled vehicle sponsory
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Avila Beach, Ca000
San Diego, Ca000
Sonoma, Ca000
Santa Barbara, Ca · principal004
Offices
Schedule D 1.F, the 25 largest
  • Avila Beach, CA3 employees
  • San Diego, CA2 employees
  • Sonoma, CA2 employees
What changed
consecutive filings, newest first
  • Accounts · 2,039 to 2,088
    Sep 30, 2024 to Mar 20, 2025
  • Corporate clients · 10 to 12
    Sep 30, 2024 to Mar 20, 2025
  • HNW clients · 373 to 413
    Sep 30, 2024 to Mar 20, 2025
  • Individual clients · 334 to 310
    Sep 30, 2024 to Mar 20, 2025
  • Assets in custody · $844M to $961M
    Sep 30, 2024 to Mar 20, 2025
  • Employees · 41 to 42
    Sep 30, 2024 to Mar 20, 2025
  • Financial planning clients · More than 500 to More than 500
    Sep 30, 2024 to Mar 20, 2025
  • State-registered IARs · 23 to 25
    Sep 30, 2024 to Mar 20, 2025
  • Discretionary RAUM · $1.9B to $1.8B
    Sep 30, 2024 to Mar 20, 2025
  • HNW RAUM · $1.4B to $1.6B
    Sep 30, 2024 to Mar 20, 2025
  • Individual RAUM · $185M to $179M
    Sep 30, 2024 to Mar 20, 2025
  • Non-discretionary RAUM · $4.3M to $5.7M
    Sep 30, 2024 to Mar 20, 2025
  • Pension RAUM · $13.9M to $16.5M
    Sep 30, 2024 to Mar 20, 2025
  • Pooled vehicle RAUM · $45.3M to $41.7M
    Sep 30, 2024 to Mar 20, 2025
  • RAUM · $1.9B to $1.8B
    Sep 30, 2024 to Mar 20, 2025
  • Accounts · 1,927 to 2,039
    Mar 23, 2023 to Mar 25, 2024
  • Corporate clients · 8 to 10
    Mar 23, 2023 to Mar 25, 2024
  • HNW clients · 340 to 373
    Mar 23, 2023 to Mar 25, 2024
  • Individual clients · 344 to 334
    Mar 23, 2023 to Mar 25, 2024
  • Pension plan clients · 6 to 8
    Mar 23, 2023 to Mar 25, 2024
  • Pooled vehicle clients · 4 to 5
    Mar 23, 2023 to Mar 25, 2024
  • Assets in custody · $576M to $844M
    Mar 23, 2023 to Mar 25, 2024
  • Employees · 39 to 41
    Mar 23, 2023 to Mar 25, 2024
  • State-registered IARs · 22 to 23
    Mar 23, 2023 to Mar 25, 2024
  • Private funds · 4 to 5
    Mar 23, 2023 to Mar 25, 2024
  • Discretionary RAUM · $1.5B to $1.9B
    Mar 23, 2023 to Mar 25, 2024
  • HNW RAUM · $1.0B to $1.4B
    Mar 23, 2023 to Mar 25, 2024
  • Individual RAUM · $177M to $185M
    Mar 23, 2023 to Mar 25, 2024
  • Non-discretionary RAUM · $3.2M to $4.3M
    Mar 23, 2023 to Mar 25, 2024
  • Pension RAUM · $10.7M to $13.9M
    Mar 23, 2023 to Mar 25, 2024
  • Pooled vehicle RAUM · $31.8M to $45.3M
    Mar 23, 2023 to Mar 25, 2024
  • RAUM · $1.5B to $1.9B
    Mar 23, 2023 to Mar 25, 2024
  • Accounts · 1,809 to 1,927
    Dec 2, 2022 to Mar 23, 2023
  • Advisory employees · 22 to 27
    Dec 2, 2022 to Mar 23, 2023
  • Corporate clients · 13 to 8
    Dec 2, 2022 to Mar 23, 2023
  • HNW clients · 358 to 340
    Dec 2, 2022 to Mar 23, 2023
  • Individual clients · 289 to 344
    Dec 2, 2022 to Mar 23, 2023
  • Pension plan clients · 11 to 6
    Dec 2, 2022 to Mar 23, 2023
  • Assets in custody · $687M to $576M
    Dec 2, 2022 to Mar 23, 2023
  • Employees · 33 to 39
    Dec 2, 2022 to Mar 23, 2023
Signals
30 dated events
  • West Coast Financial, Llc no longer on the SEC adviser roster (last listed 2025-09-02, RAUM $1.8B)
    Dec 20, 2025 · Left the SEC roster · derived
  • Jessica Katherine Layman left West Coast Financial, Llc for Cerity Partners Llc (registered 2026-03-09)
    Oct 13, 2025 · Advisor changed firm · fact
  • Clayton Thomas Murdy left West Coast Financial, Llc for Cerity Partners Retirement Plan Consultants (registered 2025-04-01)
    Oct 13, 2025 · Advisor changed firm · fact
  • Kristen Elizabeth Koch left West Coast Financial, Llc for Cerity Partners Llc (registered 2025-04-01)
    Oct 13, 2025 · Advisor changed firm · fact
  • Steven A Weintraub left West Coast Financial, Llc for Cerity Partners Llc (registered 2025-11-24)
    Oct 13, 2025 · Advisor changed firm · fact
  • West Coast Financial, LLC's advisors moved to Cerity Partners LLC (Santa Barbara, CA): 3 of 4 registered, on the same day
    Oct 13, 2025 · Firm absorbed (people side) · derived
  • Jonathan Larson Bartfeld left West Coast Financial, Llc for Cerity Partners Llc (registered 2025-04-01)
    Apr 4, 2025 · Advisor changed firm · fact
  • Samuel Stuart Marshall left West Coast Financial, Llc for Cerity Partners Llc (registered 2025-04-01)
    Apr 4, 2025 · Advisor changed firm · fact
  • Alissa Jade Rennacker left West Coast Financial, Llc for Cerity Partners Llc (registered 2025-04-01)
    Apr 4, 2025 · Advisor changed firm · fact
  • Patrick Dane Corrigan left West Coast Financial, Llc for Cerity Partners Retirement Plan Consultants (registered 2025-04-01)
    Apr 4, 2025 · Advisor changed firm · fact
  • Jeremy Michael Runnels left West Coast Financial, Llc for Cerity Partners Llc (registered 2025-04-01)
    Apr 4, 2025 · Advisor changed firm · fact
  • Jackson Paul Rabuck left West Coast Financial, Llc for Cerity Partners Llc (registered 2025-04-01)
    Apr 4, 2025 · Advisor changed firm · fact
  • Riley David Johnson left West Coast Financial, Llc for Cerity Partners Llc (registered 2025-04-01)
    Apr 4, 2025 · Advisor changed firm · fact
  • Aaron Edward Simmons left West Coast Financial, Llc for Cerity Partners Llc (registered 2025-04-01)
    Apr 4, 2025 · Advisor changed firm · fact
  • James Clayton Weimer left West Coast Financial, Llc for Cerity Partners Llc (registered 2025-04-01)
    Apr 4, 2025 · Advisor changed firm · fact
  • Lisa Ann Neff left West Coast Financial, Llc for Cerity Partners Retirement Plan Consultants (registered 2025-04-01)
    Apr 4, 2025 · Advisor changed firm · fact
  • Avalon Kathryn Denecochea left West Coast Financial, Llc for Cerity Partners Llc (registered 2025-04-01)
    Apr 4, 2025 · Advisor changed firm · fact
  • Dalton William Dixon left West Coast Financial, Llc for Cerity Partners Llc (registered 2025-04-01)
    Apr 4, 2025 · Advisor changed firm · fact
  • Ryan Scott Reiff left West Coast Financial, Llc for Cerity Partners Llc (registered 2025-04-01)
    Apr 4, 2025 · Advisor changed firm · fact
  • Kyle Brian Lantow left West Coast Financial, Llc for Cerity Partners Llc (registered 2025-04-01)
    Apr 4, 2025 · Advisor changed firm · fact
  • Andrew Vining Paulsen left West Coast Financial, Llc for Cerity Partners Llc (registered 2025-04-01)
    Apr 4, 2025 · Advisor changed firm · fact
  • Jeffrey Michael Houghtby left West Coast Financial, Llc for Cerity Partners Llc (registered 2025-04-01)
    Apr 4, 2025 · Advisor changed firm · fact
  • Joseph Eugene Ferreira left West Coast Financial, Llc for Cerity Partners Llc (registered 2025-04-16)
    Apr 4, 2025 · Advisor changed firm · fact
  • Sara Rose Feder left West Coast Financial, Llc for Cerity Partners Llc (registered 2025-04-01)
    Apr 4, 2025 · Advisor changed firm · fact
  • West Coast Financial, LLC's advisors moved to Cerity Partners LLC (Santa Barbara, CA): 16 of 22 registered, on the same day
    Apr 4, 2025 · Firm absorbed (people side) · derived
  • West Coast Financial, Llc reported RAUM $1.9B, up 25% from $1.5B (2023-03-23 to 2024-03-25)
    Mar 25, 2024 · RAUM change · derived
  • David Euegene Yossem (Partner) no longer on Schedule A of West Coast Financial, Llc (listed 2023-03-23, absent 2024-03-25)
    Mar 25, 2024 · Control person left · inference
  • West Coast Financial, Llc reported RAUM $1.6B, up 30% from $1.3B (2021-12-22 to 2022-03-21)
    Mar 21, 2022 · RAUM change · derived
  • Dennis Brian Lloyd (Class B & C Member) no longer on Schedule A of West Coast Financial, Llc (listed 2019-05-02, absent 2019-10-08)
    Oct 8, 2019 · Control person left · inference
  • Thomas Clayton Murdy (Chief Compliance Officer) appeared on Schedule A of West Coast Financial, Llc
    May 2, 2019 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
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
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026
Across the graphs

West Coast Financial, LLC is the same institution as 1 record in Real Estate Funds.

Real Estate Funds1

Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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