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
A••••• B•• C••••••• I•••
Latest filing Mar 23, 2026
First filing on the tape Mar 23, 2012 · 24 filings
SEC status approved since Jun 13, 2016
RAUM
$247M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
98%
$243M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$41.2M
derived; firm RAUM over IAPD count
Employees
6
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$247M as of Mar 23, 2026
Mar 23, 2012$67.2M then
HNW client RAUM$197M as of Mar 23, 2026
Mar 5, 2018$65.9M then
State-registered IARs (5.B.3)5 as of Mar 23, 2026
Mar 20, 20174 then
Employees (5.A)6 as of Mar 23, 2026
Mar 20, 20176 then
Private funds: no history
RAUM +13% over the last fiscal year+11% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Mar 23, 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
- $41.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 31derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.4MderivedHNW RAUM over HNW clients
- Average account
- $1.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 1.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 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
- High-net-worth individuals$197M80%
- Individuals$46.4M19%
- Pension and profit-sharing plans$3.8M1.5%
- Individual clients
- 142reported
- HNW clients
- 45reported
- Pension plan clients
- 3reported
- Charitable clients
- 0reported
- Accounts
- 191reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=true related_bank=false bd_reps=4.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••••• M•••••• W•••••• | Carlsbad, Ca | Jan 11, 2018 | 10 y | 0 |
| J•••• R••••• A••••Certified Financial Planner | Carlsbad, Ca | Mar 4, 2019 | 23 y | 3 |
| B•••• R•••••• P•••••Certified Financial Planner | Carlsbad, Ca | Feb 11, 2021 | 10 y | 0 |
| R••••• G••••• N••••• | Tustin, Ca | Jul 6, 2023 | 29 y | 0 |
| S••••• L••• B•••••••• | Carlsbad, Ca | Mar 4, 2024 | 15 y | 1 |
| C••• M•••••• L•••• | Carlsbad, Ca | Dec 18, 2024 | 13 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
- J••••••• L••••• C•••••••• to P••••••••• F••• M••••••••• L••Oct 15, 2021 · Other
- C•••••••• A•••••••• C•••••• to L•• F•••••••• L••Oct 6, 2020 · RIA to affiliated broker-dealer or bank
- C••••• J•••• C•••• to E•••••• A•• W•••• F•••••••• L••Jun 4, 2020 · RIA to RIA
- T•••••• J• L••••• to C••••••• F••••••••Mar 5, 2020 · RIA to a state-registered adviser
- J•••• S•••• V•• A•••• to S•••••• W••••• M••••••••• I•••Sep 14, 2018 · RIA to RIA
- S••• M•••••• O••••••• to E•••••• A•• W•••• F•••••••• L••Apr 25, 2017 · Other
- M•••••• J••• W•••• to L•• F•••••••• L••Dec 17, 2015 · Other
- J••••• A••• K•••••• to L•••Dec 17, 2013 · Other
- J••••••• L••••• C•••••••• to P••••••••• F••• M••••••••• L••Nov 19, 2013 · Other
- B•••• S•••••• J•••••• to D•• I••••••••• M•••••••••Apr 4, 2012 · Other
- J••••••• L••••• C•••••••• to F•• C•••••• A•••••••Oct 16, 2007 · Other
- J••• R••••• V•••• B•••••• to N••••••••• M••••• W••••• M••••••••• C••••••Apr 13, 2005 · Other
Joined, latest
- C••••• J•••• C•••• from C•••••• S••••• • C••• I•••Mar 11, 2020 · Affiliated broker-dealer or bank to independent RIA
- J•••• R••••• A•••• from U•• F•••••••• S••••••••• L••Mar 4, 2019 · RIA to RIA
- J••••••• L••••• C•••••••• from P••••••••• F••• M••••••••• L••Feb 6, 2019 · RIA to RIA
- S••• M•••••• O••••••• from I••••••••• F•••••••• G••••• L••Dec 4, 2015 · Other
- M•••••• J••• W•••• from L•• F•••••••• L••Nov 18, 2015 · Other
- J•••• S•••• V•• A•••• from E•••••••• A•••••••• L••Aug 18, 2015 · Other
- J••••• A••• K•••••• from L•• F•••••••• L••Oct 29, 2013 · Other
- J••••••• L••••• C•••••••• from C•••••••• I••••••••• S•••••••Dec 14, 2010 · Other
- T•••••• J• L••••• from M••••• S•••••• D• I•••Dec 10, 2010 · Other
- J••••••• L••••• C•••••••• from C•••••••• I••••••••• S•••••••Mar 27, 2007 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••• J••••• R••••• · Presidentcontrolsince 06/2020 · owns 25% to 50%
- L••••• M••••••• W•••••• · Chief Compliance Officercontrolsince 01/2016 · owns 10% to 25%
- S•••••••• S•••• · Investment Adviser Representative, Ownercontrolsince 02/1988 · owns 25% to 50%
- W••••••• T•••••• M•••••• · Associate Portfolio Managersince 02/2022 · owns 10% to 25%
Related persons
Schedule D 7.A
- A••••• B•• P•••••• W••••• L••investment advisernRAUM $51.7M
- A••••• B•• S••••••••• L••broker-dealery
Advisers that list A••••• B•• C••••••• I••• as a related person
- 327418 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Carlsbad, Ca · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Tustin, CA1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Mar 23, 2026HNW share of RAUM moved from 23.0% to 80.0% between the annual amendments of 2025-03-21 and 2026-03-23peers: WEALTH_I•••••••••, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- HNW clients · 41 to 45Oct 1, 2025 to Mar 23, 2026
- Individual clients · 146 to 142Oct 1, 2025 to Mar 23, 2026
- Discretionary RAUM · $216M to $243MOct 1, 2025 to Mar 23, 2026
- HNW RAUM · $50.5M to $197MOct 1, 2025 to Mar 23, 2026
- Individual RAUM · $166M to $46.4MOct 1, 2025 to Mar 23, 2026
- Non-discretionary RAUM · $3.3M to $3.8MOct 1, 2025 to Mar 23, 2026
- Pension RAUM · $3.3M to $3.8MOct 1, 2025 to Mar 23, 2026
- RAUM · $219M to $247MOct 1, 2025 to Mar 23, 2026
- Accounts · 210 to 191Mar 26, 2024 to Mar 21, 2025
- Advisory employees · 2 to 5Mar 26, 2024 to Mar 21, 2025
- HNW clients · 44 to 41Mar 26, 2024 to Mar 21, 2025
- Individual clients · 158 to 146Mar 26, 2024 to Mar 21, 2025
- Pension plan clients · 4 to 3Mar 26, 2024 to Mar 21, 2025
- Employees · 5 to 6Mar 26, 2024 to Mar 21, 2025
- Insurance-licensed employees · 3 to 5Mar 26, 2024 to Mar 21, 2025
- Financial planning clients · 101-250 to 101-250Mar 26, 2024 to Mar 21, 2025
- State-registered IARs · 3 to 5Mar 26, 2024 to Mar 21, 2025
- Discretionary RAUM · $206M to $216MMar 26, 2024 to Mar 21, 2025
- HNW RAUM · $155M to $50.5MMar 26, 2024 to Mar 21, 2025
- Individual RAUM · $51.4M to $166MMar 26, 2024 to Mar 21, 2025
- Non-discretionary RAUM · $2.6M to $3.3MMar 26, 2024 to Mar 21, 2025
- Pension RAUM · $2.6M to $3.3MMar 26, 2024 to Mar 21, 2025
- RAUM · $209M to $219MMar 26, 2024 to Mar 21, 2025
- Accounts · 200 to 210Aug 10, 2023 to Mar 26, 2024
- HNW clients · 40 to 44Aug 10, 2023 to Mar 26, 2024
- Individual clients · 195 to 158Aug 10, 2023 to Mar 26, 2024
- Pension plan clients · 5 to 4Aug 10, 2023 to Mar 26, 2024
- Insurance-licensed employees · 0 to 3Aug 10, 2023 to Mar 26, 2024
- Discretionary RAUM · $180M to $206MAug 10, 2023 to Mar 26, 2024
- HNW RAUM · $131M to $155MAug 10, 2023 to Mar 26, 2024
- Individual RAUM · $48.6M to $51.4MAug 10, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $2.2M to $2.6MAug 10, 2023 to Mar 26, 2024
- Pension RAUM · $2.2M to $2.6MAug 10, 2023 to Mar 26, 2024
- RAUM · $182M to $209MAug 10, 2023 to Mar 26, 2024
- Related adviser · false to trueMar 8, 2023 to Aug 10, 2023
- Accounts · 177 to 200Mar 1, 2022 to Mar 8, 2023
- Advisory employees · 4 to 2Mar 1, 2022 to Mar 8, 2023
- BD registered reps · 5 to 4Mar 1, 2022 to Mar 8, 2023
- HNW clients · 41 to 40Mar 1, 2022 to Mar 8, 2023
- Individual clients · 132 to 195Mar 1, 2022 to Mar 8, 2023
Signals
3 dated events
- A••••• B•• C••••••• I••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Mar 1, 2022 · Succession (Item 4) · fact
- R••••• J•••• Allen (Co-Owner) appeared on Schedule A of A••••• B•• C••••••• I•••Feb 1, 2021 · Control person joined · fact
- A••••• B•• C••••••• I••• filed its initial SEC registration (Form ADV)Jun 10, 2016 · First SEC registration · 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 phone
- 760-602-3470reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/anchor-bay-capital-inc-reportedpublic record, Form ADV, Sep 18, 2026
- Website
- anchorbaycapital.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 760-602-3470reportedpublic record, Form ADV, Mar 23, 2026
- Contact form
- anchorbaycapital.com/contact-usreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- anchorbaycapital.com/our-teamreportedpublished by the firm, firm site, Sep 16, 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
- $41.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026