DFX Intelligence
RIA Intelligence
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SEC-registered adviser
W••••• F•••••••• A••••••• I••
Legal name W••••• F•••••••• A•••••••• I••• D•• C••••••••• 4•• B•••••••
Latest filing Mar 30, 2026
First filing on the tape Jul 30, 2012 · 16 filings
SEC status approved since Jul 24, 2018
RAUM
$233M
reported, Item 5.F
Discretionary
86%
of RAUM
Private clients
86%
$201M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$77.8M
derived; firm RAUM over IAPD count
Employees
4
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$233M as of Mar 30, 2026
Jul 30, 2012$78.8M then
HNW client RAUM$154M as of Mar 30, 2026
Mar 25, 2019$64.1M then
State-registered IARs (5.B.3)3 as of Mar 30, 2026
Jul 30, 20120 then
Employees (5.A)4 as of Mar 30, 2026
Mar 25, 20193 then
Private funds: no history
RAUM +8.0% over the last fiscal year+11% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $77.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 59derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $670,357derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 86%derivedof RAUM
- Institutional
- 14%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +16%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, publicationsreportedItem 5.G
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$154M66%
- Individuals$46.8M20%
- State and municipal entities$32.2M14%
- Individual clients
- 121reported
- HNW clients
- 57reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 348reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.86 fund_share=0.0 institutional_share=0.14 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| W••••• B••• I•••••••Certified Financial Planner | Mission Viejo, Ca | Feb 6, 2013 | 32 y | 1 |
| N••••••• A••• W•••••Certified Financial Planner | Mission Viejo, Ca | Feb 6, 2022 | 12 y | 0 |
| S•••• D•••••• W•••••Certified Financial Planner | Mission Viejo, Ca | Aug 21, 2026 | 40 y | 1 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- I•••••••• W•••••• B••• · President & Ccocontrolsince 01/2002 · owns less than 5%
- W•••••• S••••• D•••••• · Chairman & Ceocontrolsince 01/1998 · owns less than 5%
- W•••••• S••••• D•••••• · Trusteecontrolsince 08/1996 · owns 75% or more of W••••• F••••• T•••• D•••• 0•••••••••
Entity owners
- W••••• F••••• T•••• D•••• 0••••••••• · Revocable Living Trustdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Mission Viejo, Ca · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 354 to 348Jun 30, 2025 to Mar 30, 2026
- HNW clients · 54 to 57Jun 30, 2025 to Mar 30, 2026
- Individual clients · 100 to 121Jun 30, 2025 to Mar 30, 2026
- Discretionary RAUM · $187M to $201MJun 30, 2025 to Mar 30, 2026
- HNW RAUM · $140M to $154MJun 30, 2025 to Mar 30, 2026
- Individual RAUM · $46.5M to $46.8MJun 30, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $29.2M to $32.2MJun 30, 2025 to Mar 30, 2026
- RAUM · $216M to $233MJun 30, 2025 to Mar 30, 2026
- Financial planning clients · 11-25 to 11-25Mar 24, 2025 to Jun 30, 2025
- Accounts · 352 to 354Mar 25, 2024 to Mar 24, 2025
- HNW clients · 51 to 54Mar 25, 2024 to Mar 24, 2025
- Individual clients · 114 to 100Mar 25, 2024 to Mar 24, 2025
- Discretionary RAUM · $163M to $187MMar 25, 2024 to Mar 24, 2025
- HNW RAUM · $117M to $140MMar 25, 2024 to Mar 24, 2025
- Individual RAUM · $46.9M to $46.5MMar 25, 2024 to Mar 24, 2025
- Non-discretionary RAUM · $26.8M to $29.2MMar 25, 2024 to Mar 24, 2025
- RAUM · $190M to $216MMar 25, 2024 to Mar 24, 2025
- Accounts · 238 to 352Mar 31, 2023 to Mar 25, 2024
- HNW clients · 41 to 51Mar 31, 2023 to Mar 25, 2024
- Discretionary RAUM · $148M to $163MMar 31, 2023 to Mar 25, 2024
- HNW RAUM · $97.9M to $117MMar 31, 2023 to Mar 25, 2024
- Individual RAUM · $50.5M to $46.9MMar 31, 2023 to Mar 25, 2024
- Non-discretionary RAUM · $23.2M to $26.8MMar 31, 2023 to Mar 25, 2024
- RAUM · $172M to $190MMar 31, 2023 to Mar 25, 2024
- Accounts · 164 to 238Mar 29, 2022 to Mar 31, 2023
- HNW clients · 46 to 41Mar 29, 2022 to Mar 31, 2023
- Individual clients · 117 to 114Mar 29, 2022 to Mar 31, 2023
- Discretionary RAUM · $171M to $148MMar 29, 2022 to Mar 31, 2023
- HNW RAUM · $120M to $97.9MMar 29, 2022 to Mar 31, 2023
- Individual RAUM · $51.5M to $50.5MMar 29, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $25.7M to $23.2MMar 29, 2022 to Mar 31, 2023
- RAUM · $197M to $172MMar 29, 2022 to Mar 31, 2023
- Accounts · 325 to 164Mar 29, 2021 to Mar 29, 2022
- Advisory employees · 2 to 3Mar 29, 2021 to Mar 29, 2022
- HNW clients · 41 to 46Mar 29, 2021 to Mar 29, 2022
- Individual clients · 116 to 117Mar 29, 2021 to Mar 29, 2022
- Employees · 3 to 4Mar 29, 2021 to Mar 29, 2022
- State-registered IARs · 2 to 3Mar 29, 2021 to Mar 29, 2022
- Discretionary RAUM · $140M to $171MMar 29, 2021 to Mar 29, 2022
- HNW RAUM · $94.6M to $120MMar 29, 2021 to Mar 29, 2022
Signals
1 dated events
- W••••• F•••••••• A••••••• I•• filed its initial SEC registration (Form ADV)Jun 21, 2018 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 800-605-6777reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 949-367-1887reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 949-367-1961reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- w•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 949-367-1961reportedpublic record, Form ADV, Mar 30, 2026
- Contact form
- w•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $77.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026