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.
Former SEC-registered adviser
Wbb Securities, LLC
Latest filing Jun 22, 2026
First filing on the tape Jun 22, 2026 · 1 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
n/a
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
0 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds: no history
Practice profile
derived from the filing of Jun 22, 2026; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- 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 a broker-dealer (6.A.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- n/areported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- on the IAPD state feed, not SEC-registeredderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Stephen Gilbertpaul Brozak | Cranford, Nj | Jun 17, 2004 | 39 y | 0 |
Advisor movement
Left, latest
- Michelle Denise Thomas to Millennial Advisers, LLC.Oct 3, 2022 · Other
- Eric Allen Sams to Millennial Advisers, LLC.Jul 15, 2020 · Other
- Paul Edward Fritch to Paul Edward Fritch CpaMay 6, 2020 · Other
- Jeffrey Alan Hoehner to Cetera Investment Advisers LLCApr 2, 2020 · Other
- Gary R Gygi to Gygi Capital ManagementDec 31, 2017 · Other
- Andrew Joseph Kleinberg to Grand Central Financial PlanningDec 31, 2017 · Other
- Lacey Lynn Roberts to Cape Investment Advisory, Inc.Sep 1, 2017 · Other
- Norman Merems to Claraphi Advisory Network, LLCMay 16, 2017 · Other
- Douglas Nolan Pi to Equitable Advisors, LLCDec 31, 2013 · Other
- Thomas Joseph Calcagnini to Calcagnini Wealth Management, LLCSep 30, 2013 · Other
- Richard Hughes Von Hurst to Signator Investors, Inc.Sep 4, 2013 · Other
- Nancy Nientzu Woo to LPL Financial LLCAug 29, 2013 · Other
- Benedict Martin Maloney to J P Turner & Company Capital Management, LLCAug 10, 2009 · Other
- Roy Edward Bennett to Smart Investments Advisory IncorporatedAug 12, 2008 · Other
- Barrick Allyn Smart to Smart Investments Advisory IncorporatedAug 12, 2008 · Other
Joined, latest
- Lacey Lynn Roberts from Keystone Capital CorporationMar 30, 2017 · Other
- Eric Allen Sams from Keystone Capital CorporationJan 3, 2017 · Other
- Jeffrey Alan Hoehner from New England Securities CorporationMay 17, 2013 · Other
- Douglas Nolan Pi from Raymond James Financial Services Advisors, IncJan 23, 2012 · Other
- Thomas Joseph Calcagnini from Victus Capital WealthNov 8, 2010 · RIA to a state-registered adviser
- Richard Hughes Von Hurst from Victus Capital WealthNov 8, 2010 · Other
- Nancy Nientzu Woo from John Hancock Distributors LLCOct 6, 2010 · Other
- Paul Edward Fritch from B. Riley Wealth Advisors, Inc.Jun 20, 2008 · Other
- Norman Merems from Brookstreet Securities CorporationAug 16, 2007 · Other
- Gary R Gygi from Eagle Gate Securities, Inc.Feb 5, 2007 · Other
- Roy Edward Bennett from Smart Investments Advisory IncorporatedDec 5, 2006 · Other
- Barrick Allyn Smart from Smart Investments Advisory IncorporatedDec 5, 2006 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
No Schedule A on the extract for this adviser.
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 |
|---|---|---|---|---|---|
| Lakeside, Ca | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
One filing, no change to show.
Signals
1 dated events
- Michelle Denise Thomas left Wbb Securities, Llc for Millennial Advisers, Llc. (registered 2020-03-17)Oct 3, 2022 · Advisor changed firm · 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
- Website
- WBBSEC.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 858-592-9901reportedpublic record, Form ADV, Jun 22, 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
- STATE REGISTEREDderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 15, 2026