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

W••••••• L••••••• • A•••••••••

Former SEC-registered adviserOrcutt, CaliforniaCRD 109271SEC 801-58077IAPD
Latest filing Apr 1, 2016
First filing on the tape Apr 10, 2012 · 14 filings
RAUM
$8.6M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$8.6M as of Apr 1, 2016
Apr 10, 2012$102M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Apr 1, 2016
Apr 10, 20120 then
Employees (5.A)2 as of Apr 1, 2016
Apr 8, 20134 then
Private funds: no history
RAUM -96% over the last fiscal year-63% a year over threeIARs 5 to 2
Practice profile
derived from the filing of Apr 1, 2016; every figure names its basis
RAUM per advisor
$4.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$132,363derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%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
-96%derivedbetween the last two annual amendments
Advisor growth, one year
-60%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 5.G
Ownership
controlled by a public reporting companyderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • 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)
  • controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
65reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • W•••••••• T•••• M••••• · Director And Chief Compliance Officercontrol
      since 06/2015 · owns 75% or more
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 1,741 to 65
      Aug 6, 2015 to Apr 1, 2016
    • Insurance-licensed employees · 2 to 0
      Aug 6, 2015 to Apr 1, 2016
    • Discretionary RAUM · $236M to $8.6M
      Aug 6, 2015 to Apr 1, 2016
    • RAUM · $236M to $8.6M
      Aug 6, 2015 to Apr 1, 2016
    • Advisory employees · 5 to 2
      Jul 7, 2015 to Aug 6, 2015
    • BD registered reps · 2 to 0
      Jul 7, 2015 to Aug 6, 2015
    • Employees · 10 to 2
      Jul 7, 2015 to Aug 6, 2015
    • Insurance-licensed employees · 0 to 2
      Jul 7, 2015 to Aug 6, 2015
    • HQ city · SANTA MARIA to ORCUTT
      Jul 7, 2015 to Aug 6, 2015
    • State-registered IARs · 5 to 2
      Jul 7, 2015 to Aug 6, 2015
    • Related adviser · false to true
      Jul 7, 2015 to Aug 6, 2015
    • Accounts · 1,613 to 1,741
      Aug 18, 2014 to Mar 30, 2015
    • Advisory employees · 4 to 5
      Aug 18, 2014 to Mar 30, 2015
    • Employees · 6 to 10
      Aug 18, 2014 to Mar 30, 2015
    • State-registered IARs · 4 to 5
      Aug 18, 2014 to Mar 30, 2015
    • Discretionary RAUM · $215M to $236M
      Aug 18, 2014 to Mar 30, 2015
    • RAUM · $215M to $236M
      Aug 18, 2014 to Mar 30, 2015
    • Accounts · 1,262 to 1,613
      Dec 3, 2013 to Mar 26, 2014
    • Advisory employees · 3 to 4
      Dec 3, 2013 to Mar 26, 2014
    • BD registered reps · 3 to 2
      Dec 3, 2013 to Mar 26, 2014
    • Employees · 4 to 6
      Dec 3, 2013 to Mar 26, 2014
    • Insurance-licensed employees · 2 to 0
      Dec 3, 2013 to Mar 26, 2014
    • Financial planning clients · 0 to unset
      Dec 3, 2013 to Mar 26, 2014
    • State-registered IARs · 3 to 4
      Dec 3, 2013 to Mar 26, 2014
    • Discretionary RAUM · $166M to $215M
      Dec 3, 2013 to Mar 26, 2014
    • RAUM · $166M to $215M
      Dec 3, 2013 to Mar 26, 2014
    • Accounts · 598 to 1,262
      Jun 14, 2012 to Apr 8, 2013
    • Advisory employees · unset to 3.0
      Jun 14, 2012 to Apr 8, 2013
    • BD registered reps · unset to 3.0
      Jun 14, 2012 to Apr 8, 2013
    • Employees · unset to 4.0
      Jun 14, 2012 to Apr 8, 2013
    • State-registered IARs · 0 to 3
      Jun 14, 2012 to Apr 8, 2013
    • Discretionary RAUM · $102M to $166M
      Jun 14, 2012 to Apr 8, 2013
    • RAUM · $102M to $166M
      Jun 14, 2012 to Apr 8, 2013
    Signals
    No event on the tape.
    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