DFX Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

C•••••••• W••••••• • V•••••• I••

Independent wealth managerSEC-registered· San Diego, Californiawebsite

Independent wealth manager, based in San Diego, California, reporting $190M of regulatory assets across 3 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-09-15 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $190M
Advisors: 3
Net advisor flow, 12 months: 0
RAUM change, 1 year: +50%
Private clients: 85%

See where advisers went See teams that moved

Advisors (3)Where the RAUM sits

As of 2026-09-15 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

+49.9%
RAUM, one year
RAUM $127M to $190M (+49.9%) on the Form ADV filed 15 Sep 2026.
The one filed measure of whether clients are staying.
FactForm ADV Item 5History →

Every filed figure, and the identifiersCRD 111082 · SEC 801-5935 · 17 filingsShow

CRD 111082SEC 801-5935First filing on the tape Mar 26, 2012, latest Sep 15, 2026SEC status approved since Sep 3, 1969IAPD

RAUM

$190M

reported, Item 5.F

Discretionary

94%

of RAUM

Private clients

85%

$161M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$63.4M

derived; firm RAUM over IAPD count

Employees

3 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

17 filings and snapshots on the tape

RAUM +14% a year over three years · the tape starts Mar 26, 2012

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$163M as of Sep 19, 2025

Sep 19, 2012$164M then

HNW client RAUM$89.4M as of Sep 19, 2025

Sep 19, 2018$87.6M then

State-registered IARs (5.B.3)2 as of Sep 19, 2025

Sep 19, 20120 then

Employees (5.A)2 as of Sep 19, 2025

Sep 24, 20134 then

Private funds: no history

RAUM +50% over the last fiscal year+14% a year over threeIARs 2 to 3

Practice profile

derived from the filing of Sep 15, 2026; every figure names its basis

Archetypes

The rule behind each archetype, and every derived figure3 rulesShow

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
Solo or small team · one advisor, or a wealth manager with up to three advisors and one office, and at most 25 employees (Item 5.A)

RAUM per advisor: $63.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 33derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.3MderivedHNW RAUM over HNW clients
Average account: $785,937derivedRAUM over accounts (5.F.2.f)
Discretionary: 94%derivedof RAUM
Institutional: 15%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.0derivedItem 5.A over advisors
Advisors per office: 3.0derived1 office incl. principal (1.F.5)
RAUM growth, one year: +15%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: -6.7%derived
Compensation: percentage of assets, hourlyreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 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

53% high-net-worth individuals, 32% individuals, and 2 other client types

The breakdown by client type, and the client counts4 client typesShow

High-net-worth individuals$101M53%
Individuals$60.0M32%
Charitable organizations$24.1M13%
Pension and profit-sharing plans$5.3M2.8%

Individual clients: 56reported
HNW clients: 44reported
Pension plan clients: 3reported
Charitable clients: 10reported
Accounts: 242reported
Financial planning clients: 1-10reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, hourlyreported
Class basis: RAUM: 85% private clients, 0% pooled funds, 15% institutions; related broker-dealer not reported; related bank not reportedderived

Advisor movement

0 left over 36 months

0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount

Left, latest

none on the tape

Joined, latest

K••• E•••• S•••• from S•••• A•••• M••••••••• G••••• I•••
Oct 22, 2008 · Other

Every departure Every arrival

Advisors registered through the firm

3 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry	Prior firms
S•••• B•••• W•••••••Certified Financial Planner, Chartered Financial Analyst	San Diego, Ca	Dec 10, 1997	35 y	0
K••• E•••• S••••	San Diego, Ca	Oct 22, 2008	24 y	1
T••••• W•••••Chartered Financial Analyst	San Diego, Ca	Jul 6, 2026	10 y	0

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

S••••• K•••• E•••• · Vice President/Treasurer/Directorcontrol
since 06/2010 · owns 10% to 25%
W•••••••• S••••• B•••• · President-Ceo/Chief Compliance Officer/Directorcontrol
since 06/2004 · 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
San Diego, Ca · principal	3	1	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 255 to 242
Sep 19, 2025 to Sep 15, 2026
Advisory employees · 2 to 3
Sep 19, 2025 to Sep 15, 2026
Charity clients · 8 to 10
Sep 19, 2025 to Sep 15, 2026
Individual clients · 46 to 56
Sep 19, 2025 to Sep 15, 2026
Pension plan clients · 2 to 3
Sep 19, 2025 to Sep 15, 2026

Full history · 80 changes

Employees · 2 to 3
Sep 19, 2025 to Sep 15, 2026
Financial planning clients · 1-10 to 1-10
Sep 19, 2025 to Sep 15, 2026
State-registered IARs · 2 to 3
Sep 19, 2025 to Sep 15, 2026
Discretionary RAUM · $153M to $179M
Sep 19, 2025 to Sep 15, 2026
HNW RAUM · $89.4M to $101M
Sep 19, 2025 to Sep 15, 2026
Individual RAUM · $55.0M to $60.0M
Sep 19, 2025 to Sep 15, 2026
Non-discretionary RAUM · $10.5M to $11.6M
Sep 19, 2025 to Sep 15, 2026
Pension RAUM · $3.4M to $5.3M
Sep 19, 2025 to Sep 15, 2026
RAUM · $163M to $190M
Sep 19, 2025 to Sep 15, 2026
Related adviser · false to unset
Sep 19, 2025 to Sep 15, 2026
Related bank · false to unset
Sep 19, 2025 to Sep 15, 2026
Related broker-dealer · false to unset
Sep 19, 2025 to Sep 15, 2026
Related insurance company · false to unset
Sep 19, 2025 to Sep 15, 2026
Succession · false to unset
Sep 19, 2025 to Sep 15, 2026
Accounts · 256 to 255
Sep 16, 2024 to Sep 19, 2025
HNW clients · 55 to 44
Sep 16, 2024 to Sep 19, 2025
Individual clients · 56 to 46
Sep 16, 2024 to Sep 19, 2025
Pension plan clients · 6 to 2
Sep 16, 2024 to Sep 19, 2025
Financial planning clients · 1-10 to 1-10
Sep 16, 2024 to Sep 19, 2025
Discretionary RAUM · $138M to $153M
Sep 16, 2024 to Sep 19, 2025
HNW RAUM · $88.4M to $89.4M
Sep 16, 2024 to Sep 19, 2025
Individual RAUM · $41.2M to $55.0M
Sep 16, 2024 to Sep 19, 2025
Non-discretionary RAUM · $8.7M to $10.5M
Sep 16, 2024 to Sep 19, 2025
Pension RAUM · $1.4M to $3.4M
Sep 16, 2024 to Sep 19, 2025
RAUM · $146M to $163M
Sep 16, 2024 to Sep 19, 2025
Accounts · 263 to 256
Sep 28, 2023 to Sep 16, 2024
Corporate clients · 1 to 0
Sep 28, 2023 to Sep 16, 2024
HNW clients · 30 to 55
Sep 28, 2023 to Sep 16, 2024
Individual clients · 89 to 56
Sep 28, 2023 to Sep 16, 2024
Discretionary RAUM · $118M to $138M
Sep 28, 2023 to Sep 16, 2024
HNW RAUM · $74.3M to $88.4M
Sep 28, 2023 to Sep 16, 2024
Individual RAUM · $33.5M to $41.2M
Sep 28, 2023 to Sep 16, 2024
Non-discretionary RAUM · $8.4M to $8.7M
Sep 28, 2023 to Sep 16, 2024
Pension RAUM · $1.6M to $1.4M
Sep 28, 2023 to Sep 16, 2024
RAUM · $127M to $146M
Sep 28, 2023 to Sep 16, 2024
Accounts · 264 to 263
Sep 13, 2022 to Sep 28, 2023
Charity clients · 9 to 8
Sep 13, 2022 to Sep 28, 2023
HNW clients · 29 to 30
Sep 13, 2022 to Sep 28, 2023
Individual clients · 86 to 89
Sep 13, 2022 to Sep 28, 2023
Pension plan clients · 5 to 6
Sep 13, 2022 to Sep 28, 2023
Discretionary RAUM · $107M to $118M
Sep 13, 2022 to Sep 28, 2023
HNW RAUM · $70.7M to $74.3M
Sep 13, 2022 to Sep 28, 2023
Individual RAUM · $28.6M to $33.5M
Sep 13, 2022 to Sep 28, 2023
Non-discretionary RAUM · $8.3M to $8.4M
Sep 13, 2022 to Sep 28, 2023
Pension RAUM · $985,412 to $1.6M
Sep 13, 2022 to Sep 28, 2023
RAUM · $115M to $127M
Sep 13, 2022 to Sep 28, 2023
Accounts · 267 to 264
Sep 21, 2021 to Sep 13, 2022
HNW clients · 30 to 29
Sep 21, 2021 to Sep 13, 2022
Individual clients · 89 to 86
Sep 21, 2021 to Sep 13, 2022
Discretionary RAUM · $119M to $107M
Sep 21, 2021 to Sep 13, 2022
HNW RAUM · $84.1M to $70.7M
Sep 21, 2021 to Sep 13, 2022
Individual RAUM · $32.2M to $28.6M
Sep 21, 2021 to Sep 13, 2022
Non-discretionary RAUM · $10.8M to $8.3M
Sep 21, 2021 to Sep 13, 2022
Pension RAUM · $351,621 to $985,412
Sep 21, 2021 to Sep 13, 2022
RAUM · $129M to $115M
Sep 21, 2021 to Sep 13, 2022
Accounts · 276 to 267
Feb 1, 2021 to Sep 21, 2021
Individual clients · 92 to 89
Feb 1, 2021 to Sep 21, 2021
Pension plan clients · 6 to 5
Feb 1, 2021 to Sep 21, 2021
Discretionary RAUM · $115M to $119M
Feb 1, 2021 to Sep 21, 2021
HNW RAUM · $84.1M to $84.1M
Feb 1, 2021 to Sep 21, 2021
Individual RAUM · $30.2M to $32.2M
Feb 1, 2021 to Sep 21, 2021
Non-discretionary RAUM · $10.3M to $10.8M
Feb 1, 2021 to Sep 21, 2021
Pension RAUM · $350,587 to $351,621
Feb 1, 2021 to Sep 21, 2021
RAUM · $125M to $129M
Feb 1, 2021 to Sep 21, 2021
Accounts · 303 to 276
Sep 21, 2020 to Feb 1, 2021
Advisory employees · 4 to 2
Sep 21, 2020 to Feb 1, 2021
Individual clients · 89 to 92
Sep 21, 2020 to Feb 1, 2021
Employees · 4 to 2
Sep 21, 2020 to Feb 1, 2021
State-registered IARs · 4 to 2
Sep 21, 2020 to Feb 1, 2021
Other offices · 1 to 0
Sep 21, 2020 to Feb 1, 2021
Discretionary RAUM · $115M to $115M
Sep 21, 2020 to Feb 1, 2021
HNW RAUM · $83.4M to $84.1M
Sep 21, 2020 to Feb 1, 2021
Individual RAUM · $30.2M to $30.2M
Sep 21, 2020 to Feb 1, 2021
Non-discretionary RAUM · $9.0M to $10.3M
Sep 21, 2020 to Feb 1, 2021
Pension RAUM · $352,659 to $350,587
Sep 21, 2020 to Feb 1, 2021

Signals

2 dated events

••• Locked
Feb 1, 2021 · Control person left · inference
••• Locked
Feb 1, 2021 · Control person left · inference

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 phone: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Website: ••• Lockedreportedpublic record, Form ADV, Sep 15, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Sep 15, 2026
Team page: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: $63.4Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026