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

Wade Financial Advisory, Inc.

Former SEC-registered adviserCampbell, CaliforniaCRD 108627SEC 801-113201websiteIAPD
Latest filing Mar 15, 2024
First filing on the tape Apr 11, 2018 · 15 filings
SEC status approved since May 14, 2018
RAUM
$673M
reported, Item 5.F
Discretionary
82%
of RAUM
Private clients
98%
$657M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
9
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$673M as of Mar 15, 2024
Mar 28, 2019$364M then
HNW client RAUM$617M as of Mar 15, 2024
Mar 28, 2019$324M then
State-registered IARs (5.B.3)8 as of Mar 15, 2024
Mar 28, 20195 then
Employees (5.A)9 as of Mar 15, 2024
Mar 28, 20199 then
Private funds: no history
RAUM +11% over the last fiscal year+6.3% a year over threeIARs 8 to 8
Practice profile
derived from the filing of Mar 15, 2024; every figure names its basis
RAUM per advisor
$84.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
38derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$3.6MderivedHNW RAUM over HNW clients
Average account
$2.6MderivedRAUM over accounts (5.F.2.f)
Discretionary
82%derivedof RAUM
Institutional
2.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.1derivedItem 5.A over advisors
Advisors per office
8.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+11%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+18%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
Custody
$671M, 255 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)
  • compensates non-employees for client referrals (8.G.2)
  • 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$617M92%
  • Individuals$40.3M6.0%
  • Pension and profit-sharing plans$13.5M2.0%
  • Charitable organizations$2.3M0.3%
Individual clients
132reported
HNW clients
171reported
Pension plan clients
2reported
Charitable clients
1reported
Accounts
255reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
$671M for 255 clientsreported
Compensation
% of AUM, fixed, 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
    • Jeanette Rachael Bellah · Chief Operating Officer & Chief Compliance Officercontrol
      since 01/2014 · owns 5% to 10%
    • Mcgill Eric Solve · Owner & Senior Advisorcontrol
      since 02/2012 · owns 5% to 10%
    • Dale Rodney Wade · Presidentcontrol
      since 01/1992 · owns 50% to 75%
    • Ramanlal Neelesh Champaneri · Chief Investment Officer
      since 01/2021 · owns 5% to 10%
    • Nmn Annrose Isaac · Senior Advisor
      since 01/2021 · owns 5% to 10%
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Campbell, Ca · principal000
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 260 to 255
      Mar 23, 2023 to Mar 15, 2024
    • HNW clients · 157 to 171
      Mar 23, 2023 to Mar 15, 2024
    • Individual clients · 100 to 132
      Mar 23, 2023 to Mar 15, 2024
    • Assets in custody · $605M to $671M
      Mar 23, 2023 to Mar 15, 2024
    • Discretionary RAUM · $486M to $553M
      Mar 23, 2023 to Mar 15, 2024
    • HNW RAUM · $540M to $617M
      Mar 23, 2023 to Mar 15, 2024
    • Individual RAUM · $51.0M to $40.3M
      Mar 23, 2023 to Mar 15, 2024
    • Non-discretionary RAUM · $119M to $120M
      Mar 23, 2023 to Mar 15, 2024
    • Pension RAUM · $11.3M to $13.5M
      Mar 23, 2023 to Mar 15, 2024
    • RAUM · $605M to $673M
      Mar 23, 2023 to Mar 15, 2024
    • Accounts · 304 to 260
      Nov 10, 2022 to Mar 23, 2023
    • Advisory employees · 9 to 8
      Nov 10, 2022 to Mar 23, 2023
    • HNW clients · 170 to 157
      Nov 10, 2022 to Mar 23, 2023
    • Individual clients · 130 to 100
      Nov 10, 2022 to Mar 23, 2023
    • Pension plan clients · 3 to 2
      Nov 10, 2022 to Mar 23, 2023
    • Assets in custody · $659M to $605M
      Nov 10, 2022 to Mar 23, 2023
    • Employees · 14 to 9
      Nov 10, 2022 to Mar 23, 2023
    • State-registered IARs · 7 to 8
      Nov 10, 2022 to Mar 23, 2023
    • Discretionary RAUM · $528M to $486M
      Nov 10, 2022 to Mar 23, 2023
    • HNW RAUM · $594M to $540M
      Nov 10, 2022 to Mar 23, 2023
    • Individual RAUM · $42.9M to $51.0M
      Nov 10, 2022 to Mar 23, 2023
    • Non-discretionary RAUM · $131M to $119M
      Nov 10, 2022 to Mar 23, 2023
    • Pension RAUM · $19.8M to $11.3M
      Nov 10, 2022 to Mar 23, 2023
    • RAUM · $659M to $605M
      Nov 10, 2022 to Mar 23, 2023
    • Accounts · 277 to 304
      Mar 25, 2021 to Mar 22, 2022
    • Advisory employees · 8 to 9
      Mar 25, 2021 to Mar 22, 2022
    • HNW clients · 148 to 170
      Mar 25, 2021 to Mar 22, 2022
    • Individual clients · 125 to 130
      Mar 25, 2021 to Mar 22, 2022
    • Assets in custody · $560M to $659M
      Mar 25, 2021 to Mar 22, 2022
    • Employees · 11 to 14
      Mar 25, 2021 to Mar 22, 2022
    • Discretionary RAUM · $429M to $528M
      Mar 25, 2021 to Mar 22, 2022
    • HNW RAUM · $494M to $594M
      Mar 25, 2021 to Mar 22, 2022
    • Individual RAUM · $45.1M to $42.9M
      Mar 25, 2021 to Mar 22, 2022
    • Non-discretionary RAUM · $131M to $131M
      Mar 25, 2021 to Mar 22, 2022
    • Pension RAUM · $18.5M to $19.8M
      Mar 25, 2021 to Mar 22, 2022
    • RAUM · $560M to $659M
      Mar 25, 2021 to Mar 22, 2022
    • Accounts · 268 to 277
      Jun 8, 2020 to Mar 25, 2021
    • HNW clients · 138 to 148
      Jun 8, 2020 to Mar 25, 2021
    • Individual clients · 126 to 125
      Jun 8, 2020 to Mar 25, 2021
    • Assets in custody · $522M to $560M
      Jun 8, 2020 to Mar 25, 2021
    Signals
    12 dated events
    • Wade Financial Advisory, Inc. no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $672.9M)
      May 2, 2025 · Left the SEC roster · derived
    • Caleb N Bjerk left Wade Financial Advisory, Inc. for Modern Wealth Management, Llc (registered 2025-03-28)
      Mar 28, 2025 · Advisor changed firm · fact
    • Patrick Thomas Giddens left Wade Financial Advisory, Inc. for Modern Wealth Management, Llc (registered 2025-04-01)
      Mar 28, 2025 · Advisor changed firm · fact
    • Jesse Orin Lownsbury left Wade Financial Advisory, Inc. for Modern Wealth Management, Llc (registered 2025-04-01)
      Mar 28, 2025 · Advisor changed firm · fact
    • Annrose Nmn Isaac left Wade Financial Advisory, Inc. for Modern Wealth Management, Llc (registered 2025-04-01)
      Mar 28, 2025 · Advisor changed firm · fact
    • Eric Mcgill Solve left Wade Financial Advisory, Inc. for Modern Wealth Management, Llc (registered 2025-04-01)
      Mar 28, 2025 · Advisor changed firm · fact
    • Rodney Dale Wade left Wade Financial Advisory, Inc. for Modern Wealth Management, Llc (registered 2025-04-01)
      Mar 28, 2025 · Advisor changed firm · fact
    • Neelesh Ramanlal Champaneri left Wade Financial Advisory, Inc. for Modern Wealth Management, Llc (registered 2025-04-01)
      Mar 28, 2025 · Advisor changed firm · fact
    • Wade Financial Advisory, Inc.'s advisors moved to Modern Wealth Management, LLC (Campbell, CA): 7 of 7 registered, on the same day
      Mar 28, 2025 · Firm absorbed (people side) · derived
    • Wade Financial Advisory, Inc. reported RAUM $522.4M, up 43% from $364.2M (2019-07-31 to 2020-03-25)
      Mar 25, 2020 · RAUM change · derived
    • Clinton David Wade (Owner) no longer on Schedule A of Wade Financial Advisory, Inc. (listed 2019-07-31, absent 2020-03-25)
      Mar 25, 2020 · Control person left · inference
    • Wade Financial Advisory, Inc. filed its initial SEC registration (Form ADV)
      Apr 11, 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.
    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