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
C••••••••• W••••• M•••••••••
Latest filing Mar 10, 2026
First filing on the tape Apr 16, 2024 · 5 filings
SEC status approved since May 17, 2024
RAUM
$276M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
89%
$246M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$276M
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$276M as of Mar 10, 2026
Mar 14, 2025$258M then
HNW client RAUM$197M as of Mar 10, 2026
Mar 14, 2025$149M then
State-registered IARs (5.B.3)1 as of Mar 10, 2026
Mar 14, 20251 then
Employees (5.A)3 as of Mar 10, 2026
Mar 14, 20252 then
Private funds: no history
RAUM +6.7% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 10, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $276MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 238derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $489,427derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 9.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +12%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $74.0M, 88 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$197M71%
- Individuals$49.0M18%
- Charitable organizations$25.0M9.1%
- Corporations and businesses$4.9M1.8%
- Individual clients
- 149reported
- HNW clients
- 89reported
- Pension plan clients
- n/areported
- Charitable clients
- 21reported
- Accounts
- 563reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $74.0M for 88 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.89 fund_share=0.0 institutional_share=0.09 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| N•••• H••••• C••••••••• | Aliso Viejo, Ca | May 29, 2020 | 41 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
- L•• C••••• to I••••• L••Feb 16, 2023 · RIA to RIA
- J•••• S•••••• K••• to F••••••• F•••••••• L••Jul 29, 2016 · RIA to a state-registered adviser
- D•••• S••••• L•••• to W••••••••• A•••••••• I•••Jan 15, 2010 · Other
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••••• N••••• H••••• · President, Ccocontrolsince 12/2002 · owns 75% or more
- C••••••••• D•••••• S•••••• · Vice-Presidentsince 12/2002 · owns less than 5%
- C•••••••• F••••••••• J••••• · Vice Presidentsince 03/2024 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 505 to 563Mar 14, 2025 to Mar 10, 2026
- Corporate clients · 3 to 4Mar 14, 2025 to Mar 10, 2026
- HNW clients · 58 to 89Mar 14, 2025 to Mar 10, 2026
- Individual clients · 155 to 149Mar 14, 2025 to Mar 10, 2026
- Assets in custody · $42.9M to $74.0MMar 14, 2025 to Mar 10, 2026
- Employees · 2 to 3Mar 14, 2025 to Mar 10, 2026
- Discretionary RAUM · $258M to $276MMar 14, 2025 to Mar 10, 2026
- HNW RAUM · $149M to $197MMar 14, 2025 to Mar 10, 2026
- Individual RAUM · $61.3M to $49.0MMar 14, 2025 to Mar 10, 2026
- RAUM · $258M to $276MMar 14, 2025 to Mar 10, 2026
- Accounts · 321 to 505Oct 29, 2024 to Mar 14, 2025
- Charity clients · 11 to 21Oct 29, 2024 to Mar 14, 2025
- Corporate clients · 2 to 3Oct 29, 2024 to Mar 14, 2025
- HNW clients · 44 to 58Oct 29, 2024 to Mar 14, 2025
- Individual clients · 122 to 155Oct 29, 2024 to Mar 14, 2025
- Assets in custody · $26.3M to $42.9MOct 29, 2024 to Mar 14, 2025
- Employees · 3 to 2Oct 29, 2024 to Mar 14, 2025
- Financial planning clients · 0 to 0Oct 29, 2024 to Mar 14, 2025
- Discretionary RAUM · $176M to $258MOct 29, 2024 to Mar 14, 2025
- HNW RAUM · $102M to $149MOct 29, 2024 to Mar 14, 2025
- Individual RAUM · $38.8M to $61.3MOct 29, 2024 to Mar 14, 2025
- Non-discretionary RAUM · $1.5M to $0Oct 29, 2024 to Mar 14, 2025
- RAUM · $177M to $258MOct 29, 2024 to Mar 14, 2025
Signals
2 dated events
- C••••••••• W••••• M••••••••• filed its initial SEC registration (Form ADV)Apr 16, 2024 · First SEC registration · fact
- L•• C••••• left C••••••••• W••••• M••••••••• for I••••• L•• (registered 2023-04-28)Feb 16, 2023 · 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
- C•••••••••WEALTH.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (949) 754-0464reportedpublic record, Form ADV, Mar 10, 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
- $276Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026