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
Y••••••• C•••••• M•••••••••
Legal name Y••••••• C•••••• M••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Apr 2, 2012 · 27 filings
SEC status approved since Sep 26, 2003
RAUM
$369M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
92%
$339M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$52.7M
derived; firm RAUM over IAPD count
Employees
8
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$369M as of Mar 31, 2026
Apr 2, 2012$190M then
HNW client RAUM$272M as of Mar 31, 2026
Mar 28, 2018$151M then
State-registered IARs (5.B.3)5 as of Mar 31, 2026
Mar 25, 20130 then
Employees (5.A)8 as of Mar 31, 2026
Mar 25, 20137 then
Private funds: no history
RAUM +8.5% over the last fiscal year+1.6% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Mar 31, 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
- 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
- RAUM per advisor
- $52.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 38derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $453,350derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 8.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 3.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -5.7%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, educational seminarsreportedItem 5.G
- Custody
- $168M, 184 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$272M74%
- Individuals$66.9M18%
- Pension and profit-sharing plans$30.1M8.2%
- Individual clients
- 182reported
- HNW clients
- 84reported
- Pension plan clients
- 17reported
- Charitable clients
- n/areported
- Accounts
- 814reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $168M for 184 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.92 fund_share=0.0 institutional_share=0.08 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• M•••••• J••••Certified Financial Planner | Newport Beach, Ca | Jun 20, 2012 | 21 y | 2 |
| R••••• C•••• H••••••• | Boston, Ma | Nov 13, 2019 | 32 y | 3 |
| B••••••• R••••• B•••••••• | Boston, Ma | Nov 14, 2024 | 16 y | 0 |
| L••••••• E••••• R•••••••••Certified Financial Planner | Boston, Ma | Sep 29, 2025 | 19 y | 1 |
| D•••• R•••••• L•••••Personal Financial Specialist | Newport Beach, Ca | Jan 1, 2026 | 13 y | 0 |
| P••• H•••• H•••••• | Boston, Ma | Mar 27, 2026 | 35 y | 1 |
| A•• N•••••• Z•••• | Boston, Ma | Sep 11, 2026 | 21 y | 9 |
Advisor movement
0 left, 2 joined in 12 months
net +2 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- D•••• B••• C•••• to B••••• A••••••• L••Jun 28, 2023 · RIA to RIA
- J••••• J•••••••• L• to C•••••••• C•••••• A•••••••Mar 1, 2019 · Other
- R••••• C•••• H••••••• to C•••••• S••••• • C••• I•••May 24, 2010 · Other
- E••• T•••••• M••• to R•••••• J•••• • A••••••••• I•••Nov 8, 2007 · Other
Joined, latest
- A•• N•••••• Z•••• from A•••••••• C•••••• W••••• M••••••••• L••Sep 11, 2026 · RIA to RIA
- L••••••• E••••• R••••••••• from G•••••••• I••••••••• A•••••••• I•••Sep 29, 2025 · Other
- R••••• C•••• H••••••• from M••••• S••••••Nov 13, 2019 · Wirehouse to independent RIA
- J••••• J•••••••• L• from C• P••••••• C•••Feb 8, 2019 · RIA to RIA
- D•••• M•••••• J•••• from S••••• M•••• M••••••••• I•••Jun 20, 2012 · Other
- D•••• B••• C•••• from U•• F•••••••• S••••••• I•••Dec 14, 2007 · Other
- E••• T•••••• M••• from U•• F•••••••• S••••••• I•••Aug 9, 2005 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••••• P•••• H•••• · Managing Director (Since 2001), Chief Compliance Officer (Since 2006)controlsince 05/2001 · owns 75% or more
Related persons
Schedule D 7.A
- A••• I• L•• •••••••pooled vehicle sponsorn
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Newport Beach, Ca · principal | 7 | 4 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 806 to 814Mar 31, 2025 to Mar 31, 2026
- HNW clients · 69 to 84Mar 31, 2025 to Mar 31, 2026
- Individual clients · 213 to 182Mar 31, 2025 to Mar 31, 2026
- Pension plan clients · 18 to 17Mar 31, 2025 to Mar 31, 2026
- Assets in custody · $192M to $168MMar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $327M to $354MMar 31, 2025 to Mar 31, 2026
- HNW RAUM · $237M to $272MMar 31, 2025 to Mar 31, 2026
- Individual RAUM · $75.4M to $66.9MMar 31, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $13.2M to $15.1MMar 31, 2025 to Mar 31, 2026
- Pension RAUM · $27.3M to $30.1MMar 31, 2025 to Mar 31, 2026
- RAUM · $340M to $369MMar 31, 2025 to Mar 31, 2026
- Accounts · 745 to 806Mar 29, 2024 to Mar 31, 2025
- Corporate clients · 1.0 to unsetMar 29, 2024 to Mar 31, 2025
- HNW clients · 67 to 69Mar 29, 2024 to Mar 31, 2025
- Individual clients · 188 to 213Mar 29, 2024 to Mar 31, 2025
- Pension plan clients · 20 to 18Mar 29, 2024 to Mar 31, 2025
- Financial planning clients · 11-25 to 1-10Mar 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $301M to $327MMar 29, 2024 to Mar 31, 2025
- HNW RAUM · $201M to $237MMar 29, 2024 to Mar 31, 2025
- Individual RAUM · $67.4M to $75.4MMar 29, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $8.5M to $13.2MMar 29, 2024 to Mar 31, 2025
- Pension RAUM · $41.4M to $27.3MMar 29, 2024 to Mar 31, 2025
- RAUM · $310M to $340MMar 29, 2024 to Mar 31, 2025
- Accounts · 906 to 745Nov 2, 2023 to Mar 29, 2024
- BD registered reps · 1 to 0Nov 2, 2023 to Mar 29, 2024
- Corporate clients · unset to 1.0Nov 2, 2023 to Mar 29, 2024
- HNW clients · 86 to 67Nov 2, 2023 to Mar 29, 2024
- Individual clients · 210 to 188Nov 2, 2023 to Mar 29, 2024
- Assets in custody · $5.0M to $192MNov 2, 2023 to Mar 29, 2024
- Employees · 9 to 8Nov 2, 2023 to Mar 29, 2024
- Financial planning clients · 1-10 to 11-25Nov 2, 2023 to Mar 29, 2024
- Discretionary RAUM · $346M to $301MNov 2, 2023 to Mar 29, 2024
- HNW RAUM · $217M to $201MNov 2, 2023 to Mar 29, 2024
- Individual RAUM · $92.8M to $67.4MNov 2, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $6.1M to $8.5MNov 2, 2023 to Mar 29, 2024
- Pension RAUM · $41.9M to $41.4MNov 2, 2023 to Mar 29, 2024
- RAUM · $352M to $310MNov 2, 2023 to Mar 29, 2024
- Assets in custody · $165M to $5.0MMar 29, 2023 to May 25, 2023
- Other offices · 0 to 1Mar 29, 2023 to May 25, 2023
- Accounts · 874 to 906Oct 27, 2022 to Mar 29, 2023
Signals
4 dated events
- D•••• B••• C•••• left Y••••••• C•••••• M••••••••• for B••••• A••••••• L•• (registered 2023-06-27)Jun 28, 2023 · Advisor changed firm · fact
- Claude Jeffery Hipshman (Managing Member) no longer on Schedule A of Y••••••• C•••••• M••••••••• (listed 2021-12-03, absent 2022-03-30)Mar 30, 2022 · Control person left · inference
- Craig Steven Williams (Managing Member) no longer on Schedule A of Y••••••• C•••••• M••••••••• (listed 2021-12-03, absent 2022-03-30)Mar 30, 2022 · Control person left · inference
- Eugene Curtis Campbell (Member) no longer on Schedule A of Y••••••• C•••••• M••••••••• (listed 2021-12-03, absent 2022-03-30)Mar 30, 2022 · 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
- 617-428-7600reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 617-428-7699reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 714-730-3310reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- Y•••••••CAPITAL.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 714-730-3310reportedpublic record, Form ADV, Mar 31, 2026
- Contact form
- cwadvisorsgroup.com/contactreportedpublished by the firm, firm site, Sep 17, 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
- $52.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026