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.

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Former SEC-registered adviser

C••••••••• W••••• M•••••••••

Former SEC-registered adviserSan Diego, CaliforniaCRD 108404SEC 801-56735IAPD
Legal name C••••••••• W••••• M••••••••• L••
Latest filing Jun 29, 2020
First filing on the tape Mar 15, 2012 · 20 filings
RAUM
$183M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
79%
$144M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$34.6M gross assets
History
20 filings and snapshots on the tape
RAUM$183M as of Mar 31, 2020
Mar 15, 2012$230M then
HNW client RAUM$135M as of Mar 31, 2020
Mar 28, 2018$233M then
State-registered IARs (5.B.3)0 as of Mar 31, 2020
Mar 22, 20134 then
Employees (5.A)5 as of Mar 31, 2020
Mar 22, 20136 then
Private funds1 as of Mar 31, 2020
Mar 15, 20121 then
RAUM -38% over the last fiscal year-12% a year over threeIARs 5 to 0offices 1 to 0
Practice profile
derived from the filing of Jun 29, 2020; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.9MderivedHNW RAUM over HNW clients
Average account
$567,111derivedRAUM over accounts (5.F.2.f)
Discretionary
98%derivedof RAUM
Institutional
1.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-38%derivedbetween the last two annual amendments
Advisor growth, one year
-100%derivedItem 5.B.3 between annual amendments
Client growth, one year
-41%derived
Compensation
percentage of assets, fixed fees, performance-based, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for pooled vehicles, pension consulting, selection of other advisers, publications, educational seminarsreportedItem 5.G
Custody
$178M, 132 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)
  • compensates persons for client referrals (8.G.1)
  • 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$135M74%
  • Pooled investment vehicles$36.8M20%
  • Individuals$8.6M4.7%
  • Charitable organizations$2.1M1.1%
Individual clients
29reported
HNW clients
46reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
322reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
$178M for 132 clientsreported
Compensation
% of AUM, fixed, performancereported
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
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
    • K••••••••• N•••••• D••••• · Chief Compliance Officercontrol
      since 06/2019 · owns less than 5%
    • M••••••• C••••• L••••• · Ceo (Managing Member)control
      since 08/1999 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 573 to 322
      Jul 11, 2019 to Mar 31, 2020
    • Advisory employees · 5 to 3
      Jul 11, 2019 to Mar 31, 2020
    • Charity clients · 3.0 to unset
      Jul 11, 2019 to Mar 31, 2020
    • Corporate clients · 1.0 to unset
      Jul 11, 2019 to Mar 31, 2020
    • HNW clients · 75 to 46
      Jul 11, 2019 to Mar 31, 2020
    • Individual clients · 52 to 29
      Jul 11, 2019 to Mar 31, 2020
    • Pension plan clients · 6.0 to unset
      Jul 11, 2019 to Mar 31, 2020
    • Employees · 9 to 5
      Jul 11, 2019 to Mar 31, 2020
    • Insurance-licensed employees · 0 to 3
      Jul 11, 2019 to Mar 31, 2020
    • State-registered IARs · 5 to 0
      Jul 11, 2019 to Mar 31, 2020
    • Other offices · 1 to 0
      Jul 11, 2019 to Mar 31, 2020
    • Discretionary RAUM · $287M to $179M
      Jul 11, 2019 to Mar 31, 2020
    • HNW RAUM · $231M to $135M
      Jul 11, 2019 to Mar 31, 2020
    • Individual RAUM · $21.4M to $8.6M
      Jul 11, 2019 to Mar 31, 2020
    • Non-discretionary RAUM · $8.7M to $3.5M
      Jul 11, 2019 to Mar 31, 2020
    • Pension RAUM · 6718889.0 to unset
      Jul 11, 2019 to Mar 31, 2020
    • Pooled vehicle RAUM · $34.6M to $36.8M
      Jul 11, 2019 to Mar 31, 2020
    • RAUM · $296M to $183M
      Jul 11, 2019 to Mar 31, 2020
    • Accounts · 308 to 573
      Mar 28, 2018 to Mar 28, 2019
    • Charity clients · unset to 3.0
      Mar 28, 2018 to Mar 28, 2019
    • Corporate clients · unset to 1.0
      Mar 28, 2018 to Mar 28, 2019
    • HNW clients · 71 to 75
      Mar 28, 2018 to Mar 28, 2019
    • Individual clients · 48 to 52
      Mar 28, 2018 to Mar 28, 2019
    • Pension plan clients · 5 to 6
      Mar 28, 2018 to Mar 28, 2019
    • Assets in custody · $291M to $178M
      Mar 28, 2018 to Mar 28, 2019
    • Discretionary RAUM · $291M to $287M
      Mar 28, 2018 to Mar 28, 2019
    • HNW RAUM · $233M to $231M
      Mar 28, 2018 to Mar 28, 2019
    • Individual RAUM · $19.0M to $21.4M
      Mar 28, 2018 to Mar 28, 2019
    • Non-discretionary RAUM · $4.5M to $8.7M
      Mar 28, 2018 to Mar 28, 2019
    • Pension RAUM · $6.4M to $6.7M
      Mar 28, 2018 to Mar 28, 2019
    • Pooled vehicle RAUM · $33.3M to $34.6M
      Mar 28, 2018 to Mar 28, 2019
    • RAUM · $295M to $296M
      Mar 28, 2018 to Mar 28, 2019
    • Accounts · 563 to 308
      Jun 2, 2017 to Mar 28, 2018
    • Advisory employees · 6 to 5
      Jun 2, 2017 to Mar 28, 2018
    • HNW clients · unset to 71.0
      Jun 2, 2017 to Mar 28, 2018
    • Individual clients · unset to 48.0
      Jun 2, 2017 to Mar 28, 2018
    • Pension plan clients · unset to 5.0
      Jun 2, 2017 to Mar 28, 2018
    • Pooled vehicle clients · unset to 1.0
      Jun 2, 2017 to Mar 28, 2018
    • Assets in custody · $30.9M to $291M
      Jun 2, 2017 to Mar 28, 2018
    • State-registered IARs · 6 to 5
      Jun 2, 2017 to Mar 28, 2018
    Signals
    4 dated events
    • C••••••••• W••••• M••••••••• reported RAUM $182.6M, down 38% from $295.6M (2019-07-11 to 2020-03-31)
      Mar 31, 2020 · RAUM change · derived
    • Robert Scott Bramwell (President (Member)) no longer on Schedule A of C••••••••• W••••• M••••••••• (listed 2019-05-21, absent 2019-07-11)
      Jul 11, 2019 · Control person left · inference
    • Michael Fabian Waldner (Executive Director & Chief Compliance Officer (Member)) no longer on Schedule A of C••••••••• W••••• M••••••••• (listed 2019-05-21, absent 2019-07-11)
      Jul 11, 2019 · Control person left · inference
    • D••••• N••••• K••••••••• (Chief Compliance Officer) appeared on Schedule A of C••••••••• W••••• M•••••••••
      Jul 11, 2019 · Control person joined · fact
    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