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••••••••• W••••• M•••••••••
Latest filing Jul 14, 2026
First filing on the tape Mar 30, 2012 · 47 filings
SEC status approved since Oct 11, 1996
RAUM
$4.9B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$4.8B individuals and HNW
Advisors
38
registered through the firm on IAPD
RAUM per advisor
$130M
derived; firm RAUM over IAPD count
Employees
68
31 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
47 filings and snapshots on the tape
RAUM$4.9B as of Jul 14, 2026
Mar 30, 2012$1.1B then
HNW client RAUM$4.3B as of Jul 14, 2026
Feb 28, 2018$1.6B then
State-registered IARs (5.B.3)24 as of Jul 14, 2026
Mar 27, 201313 then
Employees (5.A)68 as of Jul 14, 2026
Mar 27, 201324 then
Private funds: no history
RAUM +19% over the last fiscal year+15% a year over threeIARs 34 to 24
Practice profile
derived from the filing of Jul 14, 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
- RAUM per advisor
- $130MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 60derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $807,354derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 38.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- -29%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.8%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $371M, 276 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$4.3B86%
- Individuals$571M12%
- Charitable organizations$60.0M1.2%
- Corporations and businesses$27.3M0.6%
- Pension and profit-sharing plans$19.7M0.4%
- Individual clients
- 937reported
- HNW clients
- 1,335reported
- Pension plan clients
- 8reported
- Charitable clients
- 10reported
- Accounts
- 6,129reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $371M for 276 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
38 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• A•••• Y••••••••Certified Financial Planner | Walnut Creek, Ca | Nov 19, 1996 | 33 y | 0 |
| D••••• A••• D••••••• | Walnut Creek, Ca | Nov 19, 1996 | 33 y | 0 |
| G••••••• S•••• C••••Certified Financial Planner | Walnut Creek, Ca | Sep 12, 2005 | 34 y | 0 |
| B••••••• L••••• M••••• | Walnut Creek, Ca | Sep 18, 2008 | 19 y | 1 |
| A••••• M•••• H••••Certified Financial Planner, Chartered Financial Analyst | Walnut Creek, Ca | Sep 1, 2010 | 20 y | 2 |
| D••••• R•••••• T•••Certified Financial Planner | Walnut Creek, Ca | Nov 24, 2010 | 21 y | 0 |
| R••• L•••• C•••Certified Financial Planner | Walnut Creek, Ca | Aug 2, 2011 | 26 y | 0 |
| J•••••• S• L••••••••• | Walnut Creek, Ca | Nov 29, 2012 | 18 y | 0 |
| R••••• K•••• J••••••Certified Financial Planner | Walnut Creek, Ca | Jan 30, 2014 | 27 y | 3 |
| C••••••• S••••• E•••Certified Financial Planner | Walnut Creek, Ca | May 23, 2014 | 29 y | 2 |
| J••••• T• W••••• | Walnut Creek, Ca | Jun 25, 2014 | 15 y | 0 |
| D••• R•• D•••••• | Walnut Creek, Ca | Jun 27, 2014 | 13 y | 0 |
| C••••••••• A•••••••• E•••••••••Certified Financial Planner | Walnut Creek, Ca | Jul 23, 2015 | 20 y | 2 |
| C•••• D••••• G••••• | Walnut Creek, Ca | Mar 25, 2016 | 22 y | 0 |
| D•••• R••••••Certified Financial Planner | Walnut Creek, Ca | Aug 24, 2017 | 28 y | 2 |
| L•••• X•• | Walnut Creek, Ca | Jan 2, 2018 | 17 y | 0 |
| M••• M••••••• | Walnut Creek, Ca | Feb 12, 2018 | 17 y | 0 |
| A•••• S•••••• | Walnut Creek, Ca | Apr 12, 2018 | 17 y | 0 |
| G••••• F••••••• R••• | Walnut Creek, Ca | Jul 5, 2018 | 16 y | 0 |
| M••••• R••• H••••• Y•••• | Walnut Creek, Ca | Nov 20, 2018 | 12 y | 0 |
| B•••••• S••••• M•••••••Certified Financial Planner | Walnut Creek, Ca | Feb 1, 2019 | 30 y | 4 |
| P••••••• P••••Certified Financial Planner | Walnut Creek, Ca | Feb 27, 2020 | 10 y | 1 |
| D••••• J•••• T••••Certified Financial Planner | Walnut Creek, Ca | Jan 11, 2023 | 12 y | 3 |
| S•••• L• C•••••••Certified Financial Planner | Walnut Creek, Ca | Feb 2, 2023 | 30 y | 3 |
| N••• A••••• D••••••• | Walnut Creek, Ca | Jul 17, 2023 | 10 y | 0 |
| P•••• E•• C•••••••Certified Financial Planner | Walnut Creek, Ca | Feb 16, 2024 | 11 y | 1 |
| J••••• S•• S••Certified Financial Planner | Walnut Creek, Ca | Mar 4, 2024 | 20 y | 2 |
| E•••• S•••Certified Financial Planner | Walnut Creek, Ca | May 8, 2024 | 10 y | 4 |
| S••••• I••• F•••Certified Financial Planner | Walnut Creek, Ca | May 16, 2024 | 13 y | 2 |
| S••••• M•••••• G••••••••Certified Financial Planner, Chartered Financial Analyst | Walnut Creek, Ca | Sep 9, 2024 | 13 y | 2 |
| J••• W••••• H•••• | Walnut Creek, Ca | Dec 20, 2024 | 21 y | 5 |
| R••• N••••Certified Financial Planner, Chartered Financial Consultant | Walnut Creek, Ca | Jan 17, 2025 | 11 y | 1 |
| Q•••••• G••••• M••••••••Certified Financial Planner, Chartered Financial Consultant | Walnut Creek, Ca | Apr 4, 2025 | 10 y | 2 |
| I••••• S••••••••• Y•• | Walnut Creek, Ca | May 1, 2025 | 10 y | 3 |
| M•••• L•••• S•••• R••••••Certified Financial Planner | Walnut Creek, Ca | May 15, 2025 | 10 y | 1 |
| E••••• Z••Certified Financial Planner | Walnut Creek, Ca | Aug 5, 2025 | 10 y | 3 |
| X••••• X•Certified Financial Planner | Walnut Creek, Ca | Apr 7, 2026 | 14 y | 2 |
| J••• N•••••Certified Financial Planner, Chartered Financial Consultant | Walnut Creek, Ca | Apr 7, 2026 | 10 y | 4 |
Advisor movement
3 left, 2 joined in 12 months
net -1 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 7.9% of current headcount4 left over 36 months
Left, latest
- K••••• Z•• to M••••••Jul 30, 2026 · RIA to affiliated broker-dealer or bank
- C•••••••• K• T••••• to M••••• G••••• A••••••• I•••Apr 8, 2026 · RIA to RIA
- K••• G•••••• S•••••• to C••• L••Oct 6, 2025 · RIA to affiliated broker-dealer or bank
- S•••• R••••• W••••••• to V•••• F•••••••• A•••••••• L••Jun 17, 2025 · RIA to RIA
- M••••• A•••••• L••• G••••• to P••••••• A•••••••• L••May 22, 2023 · RIA to RIA
- S••••• I••• F••• to C••••••• P•••••••Feb 8, 2023 · RIA to RIA
- P••••• A•••••• Q••••••••• to C••••••• P•••••••Nov 3, 2021 · RIA to RIA
- A••••• P••• H•• to M••••••• P•••••• W••••• M•••••••••Aug 14, 2019 · RIA to a state-registered adviser
- M•••••• J•••• F•••••• to M••••• A•••••••• L••May 20, 2019 · RIA to affiliated broker-dealer or bank
- B••••••• S•••• H••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Oct 23, 2018 · RIA to wirehouse
- A•••• J•••• L••••••• to M••••• G••••• A••••••• I•••May 22, 2015 · Other
- B••••••• W•••••• K•••• to M••••• G••••• A••••••• I•••Jul 9, 2014 · Other
- M••• E•••• W••••• to S•••••• N••••••• • C••••••• I•••••••••Feb 5, 2014 · Other
- T•••• J•• to C••••••• P•••••••Sep 6, 2013 · Other
- J••• A••••• B•••••• to M••••• C•••••• M••••••••• L••Jan 6, 2012 · Other
Joined, latest
- J••• N••••• from N••••••••• S••••••••• L••Apr 7, 2026 · Other
- X••••• X• from B•••••••••Apr 7, 2026 · RIA to RIA
- E••••• Z•• from O•••• W•••••• I•••Aug 5, 2025 · Affiliated broker-dealer or bank to independent RIA
- M•••• L•••• S•••• R•••••• from M••• A•• A•••••••••May 15, 2025 · RIA to RIA
- I••••• S••••••••• Y•• from K••••• A••••••• S•••••••• L••May 1, 2025 · Affiliated broker-dealer or bank to independent RIA
- K••••• Z•• from T••••••••• F•••••••• A•••••••• L••Apr 4, 2025 · Affiliated broker-dealer or bank to independent RIA
- Q•••••• G••••• M•••••••• from I••••••••• P•••••••• L••Apr 4, 2025 · RIA to RIA
- K••• G•••••• S•••••• from S••••• P•••••• P•••••• W•••••• L••Mar 4, 2025 · RIA to RIA
- S•••• R••••• W••••••• from P••••••• A•••• M••••••••• I•••Feb 10, 2025 · RIA to RIA
- R••• N•••• from E••••• J••••Jan 17, 2025 · Affiliated broker-dealer or bank to independent RIA
- J••• W••••• H•••• from L•• E••••••••• L••Dec 20, 2024 · Other
- S••••• M•••••• G•••••••• from C••••••• P•••••••Sep 9, 2024 · RIA to RIA
- S••••• I••• F••• from C••••••• P•••••••May 16, 2024 · RIA to RIA
- E•••• S••• from R•• W••••• P•••••••May 8, 2024 · RIA to RIA
- J••••• S•• S•• from C•••••• S••••• • C••• I•••Mar 4, 2024 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••••• C••••• D••••• · President, Chief Investment Strategist & Executive Partnercontrolsince 03/2004 · owns less than 5%
- L••••••••• J••••••• S• · Managing Director & Senior Executive Partner, Chief Compliance Officer, Hr Managercontrolsince 10/2015 · owns less than 5%
- W••••••••• D••••• F•••••• · Chief Compliance Officercontrolsince 04/2025 · owns less than 5%
- Y••••••••• M••••••• A•••• · Ceo, Founder And Chairman, Portfolio Strategy Committeecontrolsince 07/1996 · 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 |
|---|---|---|---|---|---|
| Walnut Creek, Ca · principal | 38 | 2 | 3 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- control person c•••gedChange between filings · filing Jul 14, 2026L••••••••• J••••••• S• (MANAGING DIRECTOR & SENIOR EXECUTIVE PARTNER, CHIEF COMPLIANCE OFFICER, HR MANAGER) left Schedule A between the filings of 2022-03-28 and 2026-07-14peers: independent wealth managers, $1B to $5B (1,362)
- control person c•••gedChange between filings · filing Jul 14, 2026W••••••••• D••••• F•••••• (CHIEF COMPLIANCE OFFICER) appeared on Schedule A between the filings of 2022-03-28 and 2026-07-14peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Assets in custody · unset to 371156131.0Mar 31, 2026 to Apr 2, 2026
- Custody of client assets · false to trueMar 31, 2026 to Apr 2, 2026
- Accounts · 5,732 to 6,129Aug 28, 2025 to Mar 31, 2026
- Advisory employees · 34 to 31Aug 28, 2025 to Mar 31, 2026
- Advisory activities · 3 to 4Aug 28, 2025 to Mar 31, 2026
- Charity clients · 4 to 10Aug 28, 2025 to Mar 31, 2026
- Corporate clients · 14 to 9Aug 28, 2025 to Mar 31, 2026
- HNW clients · 1,264 to 1,335Aug 28, 2025 to Mar 31, 2026
- Individual clients · 883 to 937Aug 28, 2025 to Mar 31, 2026
- Pension plan clients · 25 to 8Aug 28, 2025 to Mar 31, 2026
- Assets in custody · 0.0 to unsetAug 28, 2025 to Mar 31, 2026
- Custody of client assets · true to falseAug 28, 2025 to Mar 31, 2026
- Employees · 56 to 68Aug 28, 2025 to Mar 31, 2026
- Financial planning clients · More than 500 to 251-500Aug 28, 2025 to Mar 31, 2026
- State-registered IARs · 34 to 24Aug 28, 2025 to Mar 31, 2026
- Discretionary RAUM · $4.1B to $4.9BAug 28, 2025 to Mar 31, 2026
- HNW RAUM · $3.5B to $4.3BAug 28, 2025 to Mar 31, 2026
- Individual RAUM · $465M to $571MAug 28, 2025 to Mar 31, 2026
- Pension RAUM · $89.0M to $19.7MAug 28, 2025 to Mar 31, 2026
- RAUM · $4.1B to $4.9BAug 28, 2025 to Mar 31, 2026
- Accounts · 5,567 to 5,732Dec 5, 2024 to Apr 28, 2025
- Advisory employees · 32 to 34Dec 5, 2024 to Apr 28, 2025
- Charity clients · 3 to 4Dec 5, 2024 to Apr 28, 2025
- Corporate clients · 15 to 14Dec 5, 2024 to Apr 28, 2025
- HNW clients · 1,155 to 1,264Dec 5, 2024 to Apr 28, 2025
- Individual clients · 940 to 883Dec 5, 2024 to Apr 28, 2025
- Pension plan clients · 29 to 25Dec 5, 2024 to Apr 28, 2025
- Assets in custody · unset to 0.0Dec 5, 2024 to Apr 28, 2025
- Custody of client assets · false to trueDec 5, 2024 to Apr 28, 2025
- Employees · 53 to 56Dec 5, 2024 to Apr 28, 2025
- Financial planning clients · 251-500 to More than 500Dec 5, 2024 to Apr 28, 2025
- State-registered IARs · 32 to 34Dec 5, 2024 to Apr 28, 2025
- Discretionary RAUM · $3.7B to $4.1BDec 5, 2024 to Apr 28, 2025
- HNW RAUM · $3.0B to $3.5BDec 5, 2024 to Apr 28, 2025
- Individual RAUM · $500M to $465MDec 5, 2024 to Apr 28, 2025
- Pension RAUM · $84.1M to $89.0MDec 5, 2024 to Apr 28, 2025
- RAUM · $3.7B to $4.1BDec 5, 2024 to Apr 28, 2025
- Accounts · 5,463 to 5,567Dec 13, 2023 to Feb 29, 2024
- Corporate clients · 14 to 15Dec 13, 2023 to Feb 29, 2024
- HNW clients · 1,030 to 1,155Dec 13, 2023 to Feb 29, 2024
Signals
9 dated events
- K••••• Z•• left D••••••••• W••••• M••••••••• for Mariner (registered 2026-08-17)Jul 30, 2026 · advisor firm c•••ge · fact
- C•••••••• K• T••••• left D••••••••• W••••• M••••••••• for M••••• G••••• A••••••• I••• (registered 2026-05-06)Apr 8, 2026 · advisor firm c•••ge · fact
- D••••••••• W••••• M••••••••• reported 24 state-registered advisory representatives, down from 34 (2025-08-28 to 2026-03-31)Mar 31, 2026 · ria advisor headcount c•••ge · derived
- K••• G•••••• S•••••• left D••••••••• W••••• M••••••••• for C••• L•• (registered 2026-02-10)Oct 6, 2025 · advisor firm c•••ge · fact
- S•••• R••••• W••••••• left D••••••••• W••••• M••••••••• for V•••• F•••••••• A•••••••• L•• (registered 2025-08-25)Jun 17, 2025 · advisor firm c•••ge · fact
- M••••• A•••••• L••• G••••• left D••••••••• W••••• M••••••••• for P••••••• A•••••••• L•• (registered 2024-01-11)May 22, 2023 · advisor firm c•••ge · fact
- S••••• I••• F••• left D••••••••• W••••• M••••••••• for C••••••• P••••••• (registered 2023-02-16)Feb 8, 2023 · advisor firm c•••ge · fact
- Kung Wai George Chin (President And Chief Operating Officer) no longer on Schedule A of D••••••••• W••••• M••••••••• (listed 2022-04-21, absent 2023-01-30)Jan 30, 2023 · Control person left · inference
- D••••• C•••• G••••• (Executive Vice President & Executive Partner, Chief Investment Strategist) appeared on Schedule A of D••••••••• W••••• M•••••••••Mar 28, 2022 · 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.
How to reach
public business contact points only, each with its source
- Business email
- info@destinationwm.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 800-947-3864reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/destinationwealth-managementreportedpublic record, Form ADV, Sep 18, 2026
- Website
- destinationwm.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 925-935-2900reportedpublic record, Form ADV, Jul 14, 2026
- Team page
- destinationwm.com/advisor-teamreportedpublished by the firm, firm site, Sep 15, 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
- $130Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026