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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Former SEC-registered adviser
W•••
Legal name W••••• M••••••••• • B••••••• C•••••••
Latest filing Jan 7, 2025
First filing on the tape Mar 16, 2012 · 19 filings
SEC status approved since Oct 15, 2014
RAUM
$116M
reported, Item 5.F
Discretionary
49%
of RAUM
Private clients
93%
$108M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$116M as of Jan 7, 2025
Mar 16, 2012$43.3M then
HNW client RAUM$79.6M as of Jan 7, 2025
Sep 1, 2018$62.7M then
State-registered IARs (5.B.3)3 as of Jan 7, 2025
Mar 16, 20120 then
Employees (5.A)3 as of Jan 7, 2025
Sep 1, 20154 then
Private funds: no history
RAUM +0.0% over the last fiscal year+3.3% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Jan 7, 2025; every figure names its basis
- RAUM per advisor
- $38.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 38derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $179,335derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 49%derivedof RAUM
- Institutional
- 5.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +0.0%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 fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, educational seminarsreportedItem 5.G
- Custody
- $4.0M, 3 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$79.6M68%
- Individuals$28.0M24%
- Pension and profit-sharing plans$6.0M5.1%
- Corporations and businesses$2.6M2.3%
- Individual clients
- 75reported
- HNW clients
- 40reported
- Pension plan clients
- 5reported
- Charitable clients
- n/areported
- Accounts
- 648reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $4.0M for 3 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- D•••• S•••••• C•••• to F••••••Mar 22, 2025 · RIA to RIA
- M••••• M••••• P•••• to A••••••• O• C•••Mar 22, 2025 · RIA to a state-registered adviser
- D•••• S•••• C•••• to F••••••Mar 22, 2025 · RIA to RIA
- K•••••• F•••••• G•••••• to L•• F•••••••• L••Feb 26, 2024 · RIA to affiliated broker-dealer or bank
- A••• G•••• S•••••• to L•• F•••••••• L••Apr 25, 2017 · Other
Joined, latest
- K•••••• F•••••• G•••••• from F•• S••••••••• C•••••••••Mar 18, 2022 · Affiliated broker-dealer or bank to independent RIA
- M••••• M••••• P•••• from M••••• S•••••• D• I•••May 19, 2021 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••• D••••• S•••• · Chief Executive Officercontrolsince 11/2002 · owns 75% or more
- C••••• D••••• S•••••• · Chief Compliance Officer And Presidentcontrolsince 06/2020 · owns 10% to 25%
Related persons
Schedule D 7.A
- S•••• C••••real estatey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Irvine, Ca · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 844 to 648Mar 20, 2023 to Feb 22, 2024
- Advisory employees · 4 to 3Mar 20, 2023 to Feb 22, 2024
- HNW clients · 80 to 40Mar 20, 2023 to Feb 22, 2024
- Individual clients · 81 to 75Mar 20, 2023 to Feb 22, 2024
- Pension plan clients · 8 to 5Mar 20, 2023 to Feb 22, 2024
- Assets in custody · $5.5M to $4.0MMar 20, 2023 to Feb 22, 2024
- Employees · 6 to 3Mar 20, 2023 to Feb 22, 2024
- Financial planning clients · 26-50 to 51-100Mar 20, 2023 to Feb 22, 2024
- State-registered IARs · 4 to 3Mar 20, 2023 to Feb 22, 2024
- Discretionary RAUM · $37.6M to $56.8MMar 20, 2023 to Feb 22, 2024
- HNW RAUM · $82.1M to $79.6MMar 20, 2023 to Feb 22, 2024
- Individual RAUM · $11.6M to $28.0MMar 20, 2023 to Feb 22, 2024
- Non-discretionary RAUM · $60.5M to $59.4MMar 20, 2023 to Feb 22, 2024
- Pension RAUM · $4.4M to $6.0MMar 20, 2023 to Feb 22, 2024
- RAUM · $98.1M to $116MMar 20, 2023 to Feb 22, 2024
- Accounts · 846 to 844Mar 16, 2022 to Mar 20, 2023
- HNW clients · 36 to 80Mar 16, 2022 to Mar 20, 2023
- Individual clients · 99 to 81Mar 16, 2022 to Mar 20, 2023
- Pension plan clients · unset to 8.0Mar 16, 2022 to Mar 20, 2023
- Assets in custody · $6.9M to $5.5MMar 16, 2022 to Mar 20, 2023
- Discretionary RAUM · $35.0M to $37.6MMar 16, 2022 to Mar 20, 2023
- HNW RAUM · $69.6M to $82.1MMar 16, 2022 to Mar 20, 2023
- Individual RAUM · $30.8M to $11.6MMar 16, 2022 to Mar 20, 2023
- Non-discretionary RAUM · $70.5M to $60.5MMar 16, 2022 to Mar 20, 2023
- Pension RAUM · $5.1M to $4.4MMar 16, 2022 to Mar 20, 2023
- RAUM · $106M to $98.1MMar 16, 2022 to Mar 20, 2023
- Accounts · 794 to 846Mar 17, 2021 to Mar 16, 2022
- Advisory employees · 3 to 4Mar 17, 2021 to Mar 16, 2022
- BD registered reps · 2 to 3Mar 17, 2021 to Mar 16, 2022
- HNW clients · 44 to 36Mar 17, 2021 to Mar 16, 2022
- Individual clients · 103 to 99Mar 17, 2021 to Mar 16, 2022
- Assets in custody · $7.2M to $6.9MMar 17, 2021 to Mar 16, 2022
- State-registered IARs · 2 to 4Mar 17, 2021 to Mar 16, 2022
- Discretionary RAUM · $10.2M to $35.0MMar 17, 2021 to Mar 16, 2022
- HNW RAUM · $80.5M to $69.6MMar 17, 2021 to Mar 16, 2022
- Individual RAUM · $25.1M to $30.8MMar 17, 2021 to Mar 16, 2022
- Non-discretionary RAUM · $102M to $70.5MMar 17, 2021 to Mar 16, 2022
- Pension RAUM · $6.2M to $5.1MMar 17, 2021 to Mar 16, 2022
- RAUM · $112M to $106MMar 17, 2021 to Mar 16, 2022
- Accounts · 1,080 to 794Dec 1, 2020 to Mar 17, 2021
Signals
7 dated events
- Wmbc no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $116.2M)May 2, 2025 · Left the SEC roster · derived
- David Scott Coles left Wmbc for Farther (registered 2024-12-20)Mar 22, 2025 · Advisor changed firm · fact
- 2 advisors left Wmbc (Irvine, CA) for Farther on the same dayMar 22, 2025 · Team lift-out · derived
- David Sheldon Coles left Wmbc for Farther (registered 2024-12-19)Mar 22, 2025 · Advisor changed firm · fact
- Mickey Mitsuo Payne left Wmbc for Advisors On Call (registered 2025-09-08)Mar 22, 2025 · Advisor changed firm · fact
- Kenneth Francis Galanis left Wmbc for Lpl Financial Llc (registered 2024-03-04)Feb 26, 2024 · Advisor changed firm · fact
- Wealth Management & Business Concepts filed its initial SEC registration (Form ADV)Sep 26, 2014 · 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.
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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026