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.
SEC-registered adviser
Wagner Loftin Investment Services LLC
Latest filing Mar 25, 2026
First filing on the tape Mar 23, 2012 · 23 filings
SEC status approved since May 18, 2004
RAUM
$396M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$396M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$396M as of Mar 25, 2026
Mar 23, 2012$105M then
HNW client RAUM$303M as of Mar 25, 2026
Mar 19, 2018$113M then
State-registered IARs (5.B.3)7 as of Mar 25, 2026
Mar 23, 20120 then
Employees (5.A)7 as of Mar 25, 2026
Mar 26, 20135 then
Private funds: no history
RAUM -17% over the last fiscal year+4.5% a year over threeIARs 7 to 7
Practice profile
derived from the filing of Mar 25, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- RAUM per advisor
- $56.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 63derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $415,110derivedRAUM 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
- 7.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.9%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- 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
- is an insurance broker or agent (6.A.6)
- 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$303M76%
- Individuals$93.4M24%
- Individual clients
- 306reported
- HNW clients
- 136reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 955reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=7.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
6 left, 0 joined in 12 months
net -6 in 12 months6 left in 90 days0 joined in 90 days7 left over 36 months
Left, latest
- Ronald Joseph Wagner to Osaic Wealth, Inc.Sep 2, 2026 · RIA to affiliated broker-dealer or bank
- Mark Christopher Loftin to Osaic Wealth, Inc.Sep 2, 2026 · RIA to affiliated broker-dealer or bank
- Gerald Gilberto Guintu to Osaic Wealth, Inc.Sep 2, 2026 · RIA to affiliated broker-dealer or bank
- Steve Don Loftin to Osaic Wealth, Inc.Sep 2, 2026 · RIA to affiliated broker-dealer or bank
- Sheena Ann Culp to Osaic Wealth, Inc.Sep 2, 2026 · RIA to affiliated broker-dealer or bank
- Jill Ann Guintu to Osaic Wealth, Inc.Sep 2, 2026 · RIA to affiliated broker-dealer or bank
- Thomas Michael Artz to Commonwealth Financial NetworkApr 15, 2025 · RIA to affiliated broker-dealer or bank
Joined, latest
none on the tape
Teams: two or more advisors moving together within fourteen days, from one state
- 6 left for Osaic Wealth, Inc.Sep 2, 2026 · Pleasant Hill, Ca · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Gilberto Gerald Guintu · Chief Compliance Officercontrolsince 10/2004 · owns less than 5%
- Joseph Ronald Wagner · Ownercontrolsince 07/2022 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Pleasant Hill, Ca · principal | 0 | 0 | 6 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Mar 25, 2026custody of client assets (Item 9.A): yes on the filing of 2025-04-01, no on the filing of 2026-03-25peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 1,031 to 955Apr 1, 2025 to Mar 25, 2026
- HNW clients · 139 to 136Apr 1, 2025 to Mar 25, 2026
- Individual clients · 321 to 306Apr 1, 2025 to Mar 25, 2026
- Assets in custody · 1059641.0 to unsetApr 1, 2025 to Mar 25, 2026
- Custody of client assets · true to falseApr 1, 2025 to Mar 25, 2026
- Discretionary RAUM · $478M to $396MApr 1, 2025 to Mar 25, 2026
- HNW RAUM · $377M to $303MApr 1, 2025 to Mar 25, 2026
- Individual RAUM · $102M to $93.4MApr 1, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $480,245 to $558,888Apr 1, 2025 to Mar 25, 2026
- RAUM · $479M to $396MApr 1, 2025 to Mar 25, 2026
- Accounts · 1,007 to 1,031Jan 15, 2025 to Apr 1, 2025
- HNW clients · 131 to 139Jan 15, 2025 to Apr 1, 2025
- Individual clients · 320 to 321Jan 15, 2025 to Apr 1, 2025
- Financial planning clients · 0 to 0Jan 15, 2025 to Apr 1, 2025
- Discretionary RAUM · $419M to $478MJan 15, 2025 to Apr 1, 2025
- HNW RAUM · $322M to $377MJan 15, 2025 to Apr 1, 2025
- Individual RAUM · $96.9M to $102MJan 15, 2025 to Apr 1, 2025
- Non-discretionary RAUM · $468,090 to $480,245Jan 15, 2025 to Apr 1, 2025
- RAUM · $419M to $479MJan 15, 2025 to Apr 1, 2025
- Assets in custody · unset to 1059641.0Mar 21, 2024 to Jan 15, 2025
- Custody of client assets · false to trueMar 21, 2024 to Jan 15, 2025
- Accounts · 984 to 1,007Oct 30, 2023 to Mar 21, 2024
- HNW clients · 104 to 131Oct 30, 2023 to Mar 21, 2024
- Individual clients · 340 to 320Oct 30, 2023 to Mar 21, 2024
- Discretionary RAUM · $347M to $419MOct 30, 2023 to Mar 21, 2024
- HNW RAUM · $258M to $322MOct 30, 2023 to Mar 21, 2024
- Individual RAUM · $89.1M to $96.9MOct 30, 2023 to Mar 21, 2024
- Non-discretionary RAUM · $394,658 to $468,090Oct 30, 2023 to Mar 21, 2024
- RAUM · $347M to $419MOct 30, 2023 to Mar 21, 2024
- Accounts · 935 to 984Jul 13, 2022 to Mar 22, 2023
- HNW clients · 107 to 104Jul 13, 2022 to Mar 22, 2023
- Individual clients · 287 to 340Jul 13, 2022 to Mar 22, 2023
- Discretionary RAUM · $400M to $347MJul 13, 2022 to Mar 22, 2023
- HNW RAUM · $295M to $258MJul 13, 2022 to Mar 22, 2023
- Individual RAUM · $107M to $89.1MJul 13, 2022 to Mar 22, 2023
- Non-discretionary RAUM · $2.2M to $394,658Jul 13, 2022 to Mar 22, 2023
- RAUM · $402M to $347MJul 13, 2022 to Mar 22, 2023
- Business name · WAGNER, LOFTIN INVESTMENT SERVICES to WAGNER LOFTIN INVESTMENT SERVICES LLCJul 1, 2022 to Jul 13, 2022
- Legal name · RONALD JOSEPH WAGNER to WAGNER LOFTIN INVESTMENT SERVICES LLCJul 1, 2022 to Jul 13, 2022
- Succession · true to falseJul 1, 2022 to Jul 13, 2022
Signals
9 dated events
- Ronald Joseph Wagner left Wagner Loftin Investment Services Llc for Osaic Wealth, Inc. (registered 2026-07-14)Sep 2, 2026 · Advisor changed firm · fact
- Mark Christopher Loftin left Wagner Loftin Investment Services Llc for Osaic Wealth, Inc. (registered 2026-07-14)Sep 2, 2026 · Advisor changed firm · fact
- Steve Don Loftin left Wagner Loftin Investment Services Llc for Osaic Wealth, Inc. (registered 2026-07-14)Sep 2, 2026 · Advisor changed firm · fact
- Jill Ann Guintu left Wagner Loftin Investment Services Llc for Osaic Wealth, Inc. (registered 2026-07-14)Sep 2, 2026 · Advisor changed firm · fact
- Gerald Gilberto Guintu left Wagner Loftin Investment Services Llc for Osaic Wealth, Inc. (registered 2026-07-14)Sep 2, 2026 · Advisor changed firm · fact
- Sheena Ann Culp left Wagner Loftin Investment Services Llc for Osaic Wealth, Inc. (registered 2026-07-14)Sep 2, 2026 · Advisor changed firm · fact
- Wagner Loftin Investment Services LLC's advisors moved to Osaic Wealth, Inc. (Pleasant Hill, CA): 6 of 6 registered, on the same daySep 2, 2026 · Firm absorbed (people side) · derived
- Thomas Michael Artz left Wagner Loftin Investment Services Llc for Commonwealth Financial Network (registered 2025-04-14)Apr 15, 2025 · Advisor changed firm · fact
- Wagner, Loftin Investment Services reported succeeding to the business of Another Adviser (Form ADV Item 4)Jul 1, 2022 · 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
- Principal office phone
- 925-930-7176reportedpublic record, Form ADV, Mar 21, 2024
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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026