DFX Intelligence
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W••• • A•••••••••
Independent wealth manager, based in San Diego, California, reporting $187M of regulatory assets across 2 registered advisors.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $187M
- Advisors
- 2
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- -2.2%
- Private clients
- 97% of RAUM, $181M
Form ADV
IAPD
IAPD registration history
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- Contact points 2
Every filed figure, and the identifiersCRD 107878 · SEC 801-55927 · 21 filingsShowHide
CRD 107878SEC 801-55927First filing on the tape Mar 27, 2012, latest Jun 23, 2026SEC status approved since Oct 19, 1998IAPD
RAUM
$187M
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
97%
$181M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$93.6M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$187M as of Jun 23, 2026
Mar 27, 2012$149M then
HNW client RAUM$179M as of Jun 23, 2026
Mar 30, 2018$188M then
State-registered IARs (5.B.3)2 as of Jun 23, 2026
Mar 27, 20120 then
Employees (5.A)2 as of Jun 23, 2026
Apr 1, 20133 then
Private funds: no history
RAUM -2.2% over the last fiscal year+3.1% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jun 23, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- $93.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 25derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.5MderivedHNW RAUM over HNW clients
- Average account
- $3.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%derivedof RAUM
- Institutional
- 2.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -2.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 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)
- 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$179M96%
- Charitable organizations$3.3M1.8%
- Individuals$1.8M1.0%
- Corporations and businesses$1.7M0.9%
- Pension and profit-sharing plans$1.5M0.8%
- Individual clients
- 9reported
- HNW clients
- 40reported
- Pension plan clients
- 1reported
- Charitable clients
- 3reported
- Accounts
- 55reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| W•••••• T••••••• W••• | San Diego, Ca | Mar 11, 2004 | 29 y | 0 |
| K•••• A••••• W••• | San Diego, Ca | Mar 11, 2004 | 26 y | 0 |
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
- W•••• J••• W••••••• T••••••• · General Partnercontrolsince 01/1997 · owns 50% to 75%
- W•••• K••••• A••••• · General Partner, Chief Compliance Officercontrolsince 04/2000 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| San Diego, Ca · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Discretionary RAUM · $176M to $176MMar 31, 2025 to Mar 31, 2026
- HNW RAUM · $184M to $179MMar 31, 2025 to Mar 31, 2026
- Individual RAUM · $1.7M to $1.8MMar 31, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $15.6M to $11.4MMar 31, 2025 to Mar 31, 2026
- Pension RAUM · $1.2M to $1.5MMar 31, 2025 to Mar 31, 2026
- RAUM · $191M to $187MMar 31, 2025 to Mar 31, 2026
- Accounts · 54 to 55Mar 29, 2024 to Mar 31, 2025
- Charity clients · unset to 3.0Mar 29, 2024 to Mar 31, 2025
- Corporate clients · unset to 2.0Mar 29, 2024 to Mar 31, 2025
- HNW clients · 36 to 40Mar 29, 2024 to Mar 31, 2025
- Individual clients · 11 to 9Mar 29, 2024 to Mar 31, 2025
- Pension plan clients · unset to 1.0Mar 29, 2024 to Mar 31, 2025
- Financial planning clients · 1-10 to 1-10Mar 29, 2024 to Mar 31, 2025
- State-registered IARs · 0 to 2Mar 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $166M to $176MMar 29, 2024 to Mar 31, 2025
- HNW RAUM · $173M to $184MMar 29, 2024 to Mar 31, 2025
- Individual RAUM · $1.5M to $1.7MMar 29, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $13.9M to $15.6MMar 29, 2024 to Mar 31, 2025
- Pension RAUM · $1.1M to $1.2MMar 29, 2024 to Mar 31, 2025
- RAUM · $180M to $191MMar 29, 2024 to Mar 31, 2025
- Advisory employees · 3 to 2Mar 31, 2023 to Mar 29, 2024
- Employees · 3 to 2Mar 31, 2023 to Mar 29, 2024
- State-registered IARs · 2 to 0Mar 31, 2023 to Mar 29, 2024
- Discretionary RAUM · $159M to $166MMar 31, 2023 to Mar 29, 2024
- HNW RAUM · $163M to $173MMar 31, 2023 to Mar 29, 2024
- Individual RAUM · $2.2M to $1.5MMar 31, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $11.3M to $13.9MMar 31, 2023 to Mar 29, 2024
- Pension RAUM · $894,024 to $1.1MMar 31, 2023 to Mar 29, 2024
- RAUM · $171M to $180MMar 31, 2023 to Mar 29, 2024
- Charity clients · 3.0 to unsetMar 31, 2022 to Mar 31, 2023
- HNW clients · 37 to 36Mar 31, 2022 to Mar 31, 2023
- Pension plan clients · 1.0 to unsetMar 31, 2022 to Mar 31, 2023
- Financial planning clients · 11-25 to 1-10Mar 31, 2022 to Mar 31, 2023
- HQ city · ENCINITAS to SAN DIEGOMar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $221M to $159MMar 31, 2022 to Mar 31, 2023
- HNW RAUM · $222M to $163MMar 31, 2022 to Mar 31, 2023
- Individual RAUM · $2.7M to $2.2MMar 31, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $12.5M to $11.3MMar 31, 2022 to Mar 31, 2023
- Pension RAUM · $1.0M to $894,024Mar 31, 2022 to Mar 31, 2023
- RAUM · $234M to $171MMar 31, 2022 to Mar 31, 2023
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- W••• • A••••••••• · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Website
- ••• Lockedreportedpublic record, Form ADV, Jun 23, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Jun 23, 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
- $93.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026