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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SEC-registered adviser
D••• R••••• R••••••• L••
Latest filing Mar 16, 2026
First filing on the tape Jan 3, 2012 · 21 filings
SEC status approved since Feb 2, 1999
RAUM
$351M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$350M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$117M
derived; firm RAUM over IAPD count
Employees
6
4 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$351M as of Mar 16, 2026
Mar 30, 2012$103M then
HNW client RAUM$338M as of Mar 16, 2026
Mar 13, 2018$228M then
State-registered IARs (5.B.3)4 as of Mar 16, 2026
Mar 30, 20120 then
Employees (5.A)6 as of Mar 16, 2026
Mar 13, 20134 then
Private funds: no history
RAUM +12% over the last fiscal year+9.6% a year over threeIARs 5 to 4
Practice profile
derived from the filing of Mar 16, 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
- $117MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 58derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $632,798derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- -20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.2%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$338M96%
- Individuals$12.5M3.6%
- Pension and profit-sharing plans$856,9350.2%
- Individual clients
- 37reported
- HNW clients
- 138reported
- Pension plan clients
- 1reported
- Charitable clients
- n/areported
- Accounts
- 555reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••••• C•••••• R••••••Certified Financial Planner | San Diego, Ca | Jan 17, 2012 | 26 y | 2 |
| M••• R••••• R•••••Certified Financial Planner, Personal Financial Specialist | San Diego, Ca | Jan 17, 2012 | 26 y | 2 |
| J•••••• G••••• | San Diego, Ca | Mar 24, 2025 | 11 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
- A••••• C•••••• R•••••• from C•••••••• W••••• A•••••••Jan 17, 2012 · Other
- M••• R••••• R••••• from C•••••••• W••••• A•••••••Jan 17, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R•••••• M•••• R••••• · Managing Member, Chief Compliance Officercontrolsince 01/2012 · owns 50% to 75%
- R••••••• A•••••• C•••••• · Managing Membercontrolsince 01/2012 · 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 | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 556 to 555Mar 24, 2025 to Mar 16, 2026
- Advisory employees · 5 to 4Mar 24, 2025 to Mar 16, 2026
- HNW clients · 128 to 138Mar 24, 2025 to Mar 16, 2026
- Individual clients · 40 to 37Mar 24, 2025 to Mar 16, 2026
- Employees · 7 to 6Mar 24, 2025 to Mar 16, 2026
- State-registered IARs · 5 to 4Mar 24, 2025 to Mar 16, 2026
- Discretionary RAUM · $313M to $351MMar 24, 2025 to Mar 16, 2026
- HNW RAUM · $301M to $338MMar 24, 2025 to Mar 16, 2026
- Individual RAUM · $12.4M to $12.5MMar 24, 2025 to Mar 16, 2026
- Non-discretionary RAUM · $753,730 to $0Mar 24, 2025 to Mar 16, 2026
- Pension RAUM · $720,000 to $856,935Mar 24, 2025 to Mar 16, 2026
- RAUM · $314M to $351MMar 24, 2025 to Mar 16, 2026
- Accounts · 561 to 556Mar 15, 2024 to Mar 24, 2025
- Advisory employees · 3 to 5Mar 15, 2024 to Mar 24, 2025
- Individual clients · 46 to 40Mar 15, 2024 to Mar 24, 2025
- Pension plan clients · unset to 1.0Mar 15, 2024 to Mar 24, 2025
- Employees · 5 to 7Mar 15, 2024 to Mar 24, 2025
- Financial planning clients · 101-250 to 101-250Mar 15, 2024 to Mar 24, 2025
- State-registered IARs · 3 to 5Mar 15, 2024 to Mar 24, 2025
- Discretionary RAUM · $288M to $313MMar 15, 2024 to Mar 24, 2025
- HNW RAUM · $275M to $301MMar 15, 2024 to Mar 24, 2025
- Individual RAUM · $13.1M to $12.4MMar 15, 2024 to Mar 24, 2025
- Non-discretionary RAUM · $0 to $753,730Mar 15, 2024 to Mar 24, 2025
- Pension RAUM · unset to 720000.0Mar 15, 2024 to Mar 24, 2025
- RAUM · $288M to $314MMar 15, 2024 to Mar 24, 2025
- Accounts · 592 to 561Mar 30, 2023 to Mar 15, 2024
- HNW clients · 111 to 128Mar 30, 2023 to Mar 15, 2024
- Individual clients · 48 to 46Mar 30, 2023 to Mar 15, 2024
- Discretionary RAUM · $267M to $288MMar 30, 2023 to Mar 15, 2024
- HNW RAUM · $255M to $275MMar 30, 2023 to Mar 15, 2024
- Individual RAUM · $11.4M to $13.1MMar 30, 2023 to Mar 15, 2024
- RAUM · $267M to $288MMar 30, 2023 to Mar 15, 2024
- Accounts · 562 to 592Apr 25, 2022 to Mar 30, 2023
- HNW clients · 109 to 111Apr 25, 2022 to Mar 30, 2023
- Individual clients · 50 to 48Apr 25, 2022 to Mar 30, 2023
- Discretionary RAUM · $304M to $267MApr 25, 2022 to Mar 30, 2023
- HNW RAUM · $290M to $255MApr 25, 2022 to Mar 30, 2023
- Individual RAUM · $13.3M to $11.4MApr 25, 2022 to Mar 30, 2023
- RAUM · $304M to $267MApr 25, 2022 to Mar 30, 2023
- Accounts · 583 to 562Feb 24, 2021 to Feb 9, 2022
Signals
1 dated events
- D••• C••••••••• • A••••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Jan 3, 2012 · Succession (Item 4) · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business email
- info@drrwealth.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 858-376-5024reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 858-485-8547reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 858-485-8547reportedpublic record, Form ADV, Mar 16, 2026
- Contact form
- drrwealth.com/contact-usreportedpublished by the firm, firm site, Sep 17, 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
- $117Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026