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

Dowling & Yahnke, LLC

Former SEC-registered adviserSan Diego, CaliforniaCRD 107672SEC 801-29274IAPD
Latest filing Mar 1, 2023
First filing on the tape Mar 28, 2012 · 75 filings
RAUM
$6.1B
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
94%
$5.7B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
56
24 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
75 filings and snapshots on the tape
RAUM$6.1B as of Mar 31, 2022
Mar 28, 2012$2.0B then
HNW client RAUM$5.6B as of Mar 31, 2022
Mar 29, 2018$3.7B then
State-registered IARs (5.B.3)25 as of Mar 31, 2022
Mar 28, 20120 then
Employees (5.A)56 as of Mar 31, 2022
Mar 28, 201328 then
Private funds: no history
RAUM +12% over the last fiscal year+17% a year over threeIARs 25 to 25
Practice profile
derived from the filing of Mar 1, 2023; every figure names its basis
RAUM per advisor
$245MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
54derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$4.7MderivedHNW RAUM over HNW clients
Average account
$1.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
98%derivedof RAUM
Institutional
5.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.2derivedItem 5.A over advisors
Advisors per office
25.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+12%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+5.5%derived
Compensation
percentage of assets, hourlyreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisers, publications, educational seminarsreportedItem 5.G
Custody
$22.6M, 18 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$5.6B92%
  • Charitable organizations$246M4.0%
  • Individuals$94.6M1.5%
  • Corporations and businesses$63.0M1.0%
  • Pension and profit-sharing plans$59.7M1.0%
Individual clients
153reported
HNW clients
1,196reported
Pension plan clients
13reported
Charitable clients
34reported
Accounts
4,834reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
$22.6M for 18 clientsreported
Compensation
% of AUM, hourlyreported
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
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
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Giles William Beamer · Presidentcontrol
      since 11/2013 · owns less than 5%
    • Triston Larry Nakamura · Chief Compliance Officercontrol
      since 02/2023 · owns less than 5%
    • Edward Dale Yahnke · Chief Executive Officercontrol
      since 09/2016 · owns less than 5%
    • Rose Emily Zerbato · Compliance Officercontrol
      since 02/2023 · owns less than 5%
    Entity owners
    • Ci Private Wealth, LLC · Owner & Managing Member
      direct · owns 75% or more · public reporting company
    • Ci Financial Corp. · Owner
      indirect · owns 75% or more of Ci US Holdings, Inc. · public reporting company
    • Ci US Holdings, Inc. · Owner
      indirect · owns 75% or more of Cipw Holdings, LLC
    • Cipw Holdings, LLC · Owner
      indirect · owns 75% or more of Ci Private Wealth, LLC
    Related persons
    Schedule D 7.A
    Advisers that list Dowling & Yahnke, LLC as a related person
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Discretionary RAUM · $124M to $6.0B
      Mar 31, 2022 to Apr 4, 2022
    • Non-discretionary RAUM · $6.0B to $124M
      Mar 31, 2022 to Apr 4, 2022
    • Accounts · 4,733 to 4,834
      Jul 30, 2021 to Mar 31, 2022
    • Corporate clients · 14 to 15
      Jul 30, 2021 to Mar 31, 2022
    • HNW clients · 1,157 to 1,196
      Jul 30, 2021 to Mar 31, 2022
    • Individual clients · 148 to 153
      Jul 30, 2021 to Mar 31, 2022
    • Assets in custody · $18.1M to $22.6M
      Jul 30, 2021 to Mar 31, 2022
    • Employees · 54 to 56
      Jul 30, 2021 to Mar 31, 2022
    • Discretionary RAUM · $5.6B to $124M
      Jul 30, 2021 to Mar 31, 2022
    • HNW RAUM · $5.3B to $5.6B
      Jul 30, 2021 to Mar 31, 2022
    • Individual RAUM · $85.9M to $94.6M
      Jul 30, 2021 to Mar 31, 2022
    • Non-discretionary RAUM · $103M to $6.0B
      Jul 30, 2021 to Mar 31, 2022
    • Pension RAUM · $62.0M to $59.7M
      Jul 30, 2021 to Mar 31, 2022
    • RAUM · $5.7B to $6.1B
      Jul 30, 2021 to Mar 31, 2022
    • Related adviser · false to true
      Jul 30, 2021 to Mar 31, 2022
    • Accounts · 5,033 to 4,733
      Apr 30, 2021 to Jul 1, 2021
    • Corporate clients · 15 to 14
      Apr 30, 2021 to Jul 1, 2021
    • HNW clients · 1,150 to 1,157
      Apr 30, 2021 to Jul 1, 2021
    • Individual clients · 158 to 148
      Apr 30, 2021 to Jul 1, 2021
    • Custody of client assets · false to true
      Apr 30, 2021 to Jul 1, 2021
    • Discretionary RAUM · $5.7B to $5.6B
      Apr 30, 2021 to Jul 1, 2021
    • HNW RAUM · $5.3B to $5.3B
      Apr 30, 2021 to Jul 1, 2021
    • Individual RAUM · $85.6M to $85.9M
      Apr 30, 2021 to Jul 1, 2021
    • Non-discretionary RAUM · $0 to $103M
      Apr 30, 2021 to Jul 1, 2021
    • Pension RAUM · $60.6M to $62.0M
      Apr 30, 2021 to Jul 1, 2021
    • RAUM · $5.7B to $5.7B
      Apr 30, 2021 to Jul 1, 2021
    • Accounts · 4,910 to 5,033
      Mar 31, 2021 to Apr 30, 2021
    • Corporate clients · 12 to 15
      Mar 31, 2021 to Apr 30, 2021
    • HNW clients · 1,123 to 1,150
      Mar 31, 2021 to Apr 30, 2021
    • Individual clients · 156 to 158
      Mar 31, 2021 to Apr 30, 2021
    • Assets in custody · unset to 18085253.0
      Mar 31, 2021 to Apr 30, 2021
    • Discretionary RAUM · $5.5B to $5.7B
      Mar 31, 2021 to Apr 30, 2021
    • HNW RAUM · $5.1B to $5.3B
      Mar 31, 2021 to Apr 30, 2021
    • Individual RAUM · $77.8M to $85.6M
      Mar 31, 2021 to Apr 30, 2021
    • Pension RAUM · $58.8M to $60.6M
      Mar 31, 2021 to Apr 30, 2021
    • RAUM · $5.5B to $5.7B
      Mar 31, 2021 to Apr 30, 2021
    • Accounts · 4,490 to 4,910
      Dec 11, 2020 to Mar 31, 2021
    • Charity clients · 31 to 34
      Dec 11, 2020 to Mar 31, 2021
    • HNW clients · 1,066 to 1,123
      Dec 11, 2020 to Mar 31, 2021
    • Individual clients · 150 to 156
      Dec 11, 2020 to Mar 31, 2021
    Signals
    39 dated events
    • Michael Nowlan Strauss left Dowling & Yahnke, Llc for Corient (registered 2022-09-15)
      Mar 31, 2023 · Advisor changed firm · fact
    • Kendrick Akira Uyeda left Dowling & Yahnke, Llc for Corient (registered 2022-09-15)
      Mar 31, 2023 · Advisor changed firm · fact
    • Kelly Ann Feldmann left Dowling & Yahnke, Llc for Corient (registered 2025-01-02)
      Mar 31, 2023 · Advisor changed firm · fact
    • Chris Martin Johnson left Dowling & Yahnke, Llc for Corient (registered 2025-01-01)
      Mar 31, 2023 · Advisor changed firm · fact
    • Matthew Ross Adams left Dowling & Yahnke, Llc for Corient (registered 2022-09-15)
      Mar 31, 2023 · Advisor changed firm · fact
    • Michael S Brown left Dowling & Yahnke, Llc for Corient (registered 2022-09-15)
      Mar 31, 2023 · Advisor changed firm · fact
    • Jacob Thomas Erlendson left Dowling & Yahnke, Llc for Corient (registered 2022-09-15)
      Mar 31, 2023 · Advisor changed firm · fact
    • Jeffrey Michael Gohsler left Dowling & Yahnke, Llc for Corient (registered 2022-09-15)
      Mar 31, 2023 · Advisor changed firm · fact
    • Erik Henry Nelson left Dowling & Yahnke, Llc for Corient (registered 2022-09-15)
      Mar 31, 2023 · Advisor changed firm · fact
    • Robert Joseph Hanlon left Dowling & Yahnke, Llc for Corient (registered 2023-11-21)
      Mar 31, 2023 · Advisor changed firm · fact
    • Andrew Haines Mcnamara left Dowling & Yahnke, Llc for Corient (registered 2022-09-15)
      Mar 31, 2023 · Advisor changed firm · fact
    • Andrew Yoontae Kim left Dowling & Yahnke, Llc for Corient (registered 2025-01-06)
      Mar 31, 2023 · Advisor changed firm · fact
    • Brian Robert Hebert left Dowling & Yahnke, Llc for Corient (registered 2024-03-20)
      Mar 31, 2023 · Advisor changed firm · fact
    • William Giles Beamer left Dowling & Yahnke, Llc for Corient (registered 2022-09-15)
      Mar 31, 2023 · Advisor changed firm · fact
    • Elias Franchesco Vera left Dowling & Yahnke, Llc for Corient (registered 2022-09-15)
      Mar 31, 2023 · Advisor changed firm · fact
    • Brett Ryan Pernicano left Dowling & Yahnke, Llc for Corient (registered 2022-09-15)
      Mar 31, 2023 · Advisor changed firm · fact
    • Grant Allan Webster left Dowling & Yahnke, Llc for Corient (registered 2022-09-15)
      Mar 31, 2023 · Advisor changed firm · fact
    • Raymond Mark Wernig left Dowling & Yahnke, Llc for Corient (registered 2022-09-15)
      Mar 31, 2023 · Advisor changed firm · fact
    • Anna E. Diaz left Dowling & Yahnke, Llc for Corient (registered 2022-09-15)
      Mar 31, 2023 · Advisor changed firm · fact
    • John Michael Peters left Dowling & Yahnke, Llc for Corient (registered 2022-09-15)
      Mar 31, 2023 · Advisor changed firm · fact
    • Dowling & Yahnke, LLC's advisors moved to Corient (San Diego, CA): 20 of 20 registered, on the same day
      Mar 31, 2023 · Firm absorbed (people side) · derived
    • Joseph Mark Munoz (Chief Operating Officer) no longer on Schedule A of Dowling & Yahnke, Llc (listed 2022-09-09, absent 2023-03-01)
      Mar 1, 2023 · Control person left · inference
    • Triston Larry Nakamura (Chief Compliance Officer) appeared on Schedule A of Dowling & Yahnke, Llc
      Mar 1, 2023 · Control person joined · fact
    • Hunter Pearson Daniel left Dowling & Yahnke, Llc for Morton Wealth (registered 2022-07-08)
      Jul 5, 2022 · Advisor changed firm · fact
    • Jason Michael Abbamonte left Dowling & Yahnke, Llc for New Millennium Group (registered 2022-07-06)
      May 9, 2022 · Advisor changed firm · fact
    • Rose Emily Zerbato (Chief Compliance Officer) appeared on Schedule A of Dowling & Yahnke, Llc
      Jul 30, 2021 · Control person joined · fact
    • Triston Larry Nakamura (Chief Compliance Officer) no longer on Schedule A of Dowling & Yahnke, Llc (listed 2021-07-06, absent 2021-07-30)
      Jul 30, 2021 · Control person left · inference
    • Christine Alana Asmussen (Shareholder) no longer on Schedule A of Dowling & Yahnke, Llc (listed 2021-04-30, absent 2021-07-01)
      Jul 1, 2021 · Control person left · inference
    • S Michael Brown (Shareholder) no longer on Schedule A of Dowling & Yahnke, Llc (listed 2021-04-30, absent 2021-07-01)
      Jul 1, 2021 · Control person left · inference
    • James Gregory Richardson (Shareholder) no longer on Schedule A of Dowling & Yahnke, Llc (listed 2021-04-30, absent 2021-07-01)
      Jul 1, 2021 · Control person left · inference
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    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