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••••• F•••••••• S•••••••• L••

Former SEC-registered adviserAnaheim, CaliforniaCRD 125650SEC 801-113359IAPD
Latest filing Jul 27, 2022
First filing on the tape May 2, 2018 · 23 filings
RAUM
$226M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$226M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
31
18 advisory (5.B.1)
Offices
26
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$226M as of Mar 31, 2022
Mar 18, 2019$137M then
HNW client RAUM$13.0M as of Mar 31, 2022
Mar 18, 2019$10.1M then
State-registered IARs (5.B.3)29 as of Mar 31, 2022
Mar 18, 201927 then
Employees (5.A)31 as of Mar 31, 2022
Mar 18, 201936 then
Private funds: no history
RAUM +17% over the last fiscal year+18% a year over threeIARs 29 to 29
Practice profile
derived from the filing of Jul 27, 2022; every figure names its basis
RAUM per advisor
$7.8MderivedRAUM 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
$198,669derivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.1derivedItem 5.A over advisors
Advisors per office
1.1derived27 offices incl. principal (1.F.5)
RAUM growth, one year
+17%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, otherreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
Ownership
a bank, bancorp or trust company is a 50 percent or greater ownerderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • is a broker-dealer (6.A.1)
  • buys or sells securities as principal to or from clients (8.A.2)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$213M94%
  • High-net-worth individuals$13.0M5.8%
Individual clients
1,133reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1,138reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • A••••• J••••••• J•••• · Chairmancontrol
      since 10/2017 · owns less than 5%
    • L••• C•••• · Finopcontrol
      since 02/2008 · owns less than 5%
    • N•••• D•••• L••• R••••• · Ccocontrol
      since 02/2020 · owns less than 5%
    • P••••• K•••• B•••• · Directorcontrol
      since 10/2009 · owns less than 5%
    • W•••••••• D••••• · Directorcontrol
      since 10/2003 · owns less than 5%
    Entity owners
    • W••••• C•••••• C••••• U•••• · Shareholder
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    • La Habra, CA2 employees
    • Hawthorne, CA2 employees
    • Torrance, CA2 employees
    • Signal Hill, CA2 employees
    • Riverside, CA1 employees
    • Thousand Oaks, CA1 employees
    • Tustin, CA1 employees
    • Pasadena, CA1 employees
    • Stevenson Ranch, CA1 employees
    • Laguna Niguel, CA1 employees
    • Costa Mesa, CA1 employees
    • West Covina, CA1 employees
    • Culver City, CA1 employees
    • Ontario, CA1 employees
    • Simi Valley, CA1 employees
    • Oxnard, CA1 employees
    • Corona, CA1 employees
    • Redlands, CA1 employees
    • Palmdale, CA1 employees
    • Anaheim, CA1 employees
    • Anaheim, CA1 employees
    • Pasadena, CA1 employees
    • Los Angeles, CA1 employees
    • Orange, CA1 employees
    • Sherman Oaks, CA1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 1,200 to 1,138
      Feb 18, 2022 to Mar 31, 2022
    • Individual clients · 1,008 to 1,133
      Feb 18, 2022 to Mar 31, 2022
    • HNW RAUM · $14.6M to $13.0M
      Feb 18, 2022 to Mar 31, 2022
    • Individual RAUM · $179M to $213M
      Feb 18, 2022 to Mar 31, 2022
    • Non-discretionary RAUM · $193M to $226M
      Feb 18, 2022 to Mar 31, 2022
    • RAUM · $193M to $226M
      Feb 18, 2022 to Mar 31, 2022
    • Accounts · 1,132 to 1,200
      Mar 22, 2021 to Mar 31, 2021
    • BD registered reps · 18 to 31
      Mar 22, 2021 to Mar 31, 2021
    • HNW clients · 8.0 to unset
      Mar 22, 2021 to Mar 31, 2021
    • Individual clients · 962 to 1,008
      Mar 22, 2021 to Mar 31, 2021
    • Employees · 18 to 31
      Mar 22, 2021 to Mar 31, 2021
    • State-registered IARs · 18 to 29
      Mar 22, 2021 to Mar 31, 2021
    • HNW RAUM · $16.0M to $14.6M
      Mar 22, 2021 to Mar 31, 2021
    • Individual RAUM · $156M to $179M
      Mar 22, 2021 to Mar 31, 2021
    • Non-discretionary RAUM · $172M to $193M
      Mar 22, 2021 to Mar 31, 2021
    • RAUM · $172M to $193M
      Mar 22, 2021 to Mar 31, 2021
    • Accounts · 1,011 to 1,132
      Feb 14, 2020 to Mar 30, 2020
    • Advisory employees · 22 to 18
      Feb 14, 2020 to Mar 30, 2020
    • BD registered reps · 35 to 18
      Feb 14, 2020 to Mar 30, 2020
    • HNW clients · unset to 8.0
      Feb 14, 2020 to Mar 30, 2020
    • Individual clients · 1,007 to 962
      Feb 14, 2020 to Mar 30, 2020
    • Employees · 36 to 18
      Feb 14, 2020 to Mar 30, 2020
    • State-registered IARs · 27 to 18
      Feb 14, 2020 to Mar 30, 2020
    • HNW RAUM · $10.1M to $16.0M
      Feb 14, 2020 to Mar 30, 2020
    • Individual RAUM · $127M to $156M
      Feb 14, 2020 to Mar 30, 2020
    • Non-discretionary RAUM · $137M to $172M
      Feb 14, 2020 to Mar 30, 2020
    • RAUM · $137M to $172M
      Feb 14, 2020 to Mar 30, 2020
    • HQ city · PASADENA to ANAHEIM
      Apr 23, 2019 to Dec 26, 2019
    • Other offices · 25 to 26
      Apr 23, 2019 to Dec 26, 2019
    • Accounts · 850 to 1,011
      Sep 17, 2018 to Mar 18, 2019
    • BD registered reps · 28 to 35
      Sep 17, 2018 to Mar 18, 2019
    • Individual clients · 846 to 1,007
      Sep 17, 2018 to Mar 18, 2019
    • Employees · 35 to 36
      Sep 17, 2018 to Mar 18, 2019
    • State-registered IARs · 22 to 27
      Sep 17, 2018 to Mar 18, 2019
    • Other offices · 24 to 25
      Sep 17, 2018 to Mar 18, 2019
    • HNW RAUM · $5.5M to $10.1M
      Sep 17, 2018 to Mar 18, 2019
    • Individual RAUM · $119M to $127M
      Sep 17, 2018 to Mar 18, 2019
    • Non-discretionary RAUM · $125M to $137M
      Sep 17, 2018 to Mar 18, 2019
    • RAUM · $125M to $137M
      Sep 17, 2018 to Mar 18, 2019
    Signals
    29 dated events
    • J••••••• J•••• A•••• left W••••• F•••••••• S•••••••• L•• for C••• F•••••••• S•••••••• L••• (registered 2023-01-16)
      Feb 7, 2023 · Advisor changed firm · fact
    • D••••• H•••••• left W••••• F•••••••• S•••••••• L•• for C••• F•••••••• S•••••••• L••• (registered 2023-01-13)
      Feb 6, 2023 · Advisor changed firm · fact
    • P••••• R•••• left W••••• F•••••••• S•••••••• L•• for C••• F•••••••• S•••••••• L••• (registered 2023-01-16)
      Feb 6, 2023 · Advisor changed firm · fact
    • J•••• N••••• B•••• left W••••• F•••••••• S•••••••• L•• for C••• F•••••••• S•••••••• L••• (registered 2023-01-13)
      Feb 6, 2023 · Advisor changed firm · fact
    • D•••• A•••••• J••••••••• left W••••• F•••••••• S•••••••• L•• for C••• F•••••••• S•••••••• L••• (registered 2023-01-13)
      Feb 6, 2023 · Advisor changed firm · fact
    • M••••• C••••••• left W••••• F•••••••• S•••••••• L•• for C••• F•••••••• S•••••••• L••• (registered 2023-01-13)
      Feb 6, 2023 · Advisor changed firm · fact
    • S••••• M•••• H•••••• left W••••• F•••••••• S•••••••• L•• for C••• F•••••••• S•••••••• L••• (registered 2023-01-16)
      Feb 6, 2023 · Advisor changed firm · fact
    • T••••• Q•••• T•••• left W••••• F•••••••• S•••••••• L•• for C••• F•••••••• S•••••••• L••• (registered 2023-01-16)
      Feb 6, 2023 · Advisor changed firm · fact
    • S•••••• A••••• B•••• left W••••• F•••••••• S•••••••• L•• for C••• F•••••••• S•••••••• L••• (registered 2023-01-13)
      Feb 6, 2023 · Advisor changed firm · fact
    • K••• S••••• G••••••••• left W••••• F•••••••• S•••••••• L•• for C••• F•••••••• S•••••••• L••• (registered 2023-01-13)
      Feb 6, 2023 · Advisor changed firm · fact
    • R••• C••••••••• T••••• left W••••• F•••••••• S•••••••• L•• for C••• F•••••••• S•••••••• L••• (registered 2023-01-16)
      Feb 6, 2023 · Advisor changed firm · fact
    • S•••••• C••••• R••• left W••••• F•••••••• S•••••••• L•• for C••• F•••••••• S•••••••• L••• (registered 2023-01-16)
      Feb 6, 2023 · Advisor changed firm · fact
    • W••••• F•••••••• S•••••••• L••'s advisors moved to C••• F•••••••• S•••••••• L••• (Anaheim, CA): 21 of 21 registered, a day apart
      Feb 6, 2023 · Firm absorbed (people side) · derived
    • P•• J••• K•• left W••••• F•••••••• S•••••••• L•• for C••• F•••••••• S•••••••• L••• (registered 2023-01-16)
      Feb 6, 2023 · Advisor changed firm · fact
    • K•••• W••••• V••• left W••••• F•••••••• S•••••••• L•• for C••• F•••••••• S•••••••• L••• (registered 2023-01-16)
      Feb 6, 2023 · Advisor changed firm · fact
    • B•••• D• C•••• left W••••• F•••••••• S•••••••• L•• for C••• F•••••••• S•••••••• L••• (registered 2023-01-13)
      Feb 6, 2023 · Advisor changed firm · fact
    • R••••• M•••••• G••••• left W••••• F•••••••• S•••••••• L•• for C••• F•••••••• S•••••••• L••• (registered 2023-01-13)
      Feb 6, 2023 · Advisor changed firm · fact
    • S•••• J•••• W••••• left W••••• F•••••••• S•••••••• L•• for C••• F•••••••• S•••••••• L••• (registered 2023-01-13)
      Feb 6, 2023 · Advisor changed firm · fact
    • D••••• G••• C••• left W••••• F•••••••• S•••••••• L•• for C••• F•••••••• S•••••••• L••• (registered 2023-01-16)
      Feb 6, 2023 · Advisor changed firm · fact
    • N••••• M•••••• Y•• left W••••• F•••••••• S•••••••• L•• for C••• F•••••••• S•••••••• L••• (registered 2023-01-16)
      Feb 6, 2023 · Advisor changed firm · fact
    • Y••••• V• K••••••••• left W••••• F•••••••• S•••••••• L•• for C••• F•••••••• S•••••••• L••• (registered 2023-01-13)
      Feb 6, 2023 · Advisor changed firm · fact
    • B•••• C••••• G•••• left W••••• F•••••••• S•••••••• L•• for C••• F•••••••• S•••••••• L••• (registered 2023-01-13)
      Feb 6, 2023 · Advisor changed firm · fact
    • S••••• S••••••••• left W••••• F•••••••• S•••••••• L•• for H••••••••• G•••• E••••• • R••••••••• S••••••••• (registered 2022-09-19)
      Sep 22, 2022 · Advisor changed firm · fact
    • W••••• F•••••••• S•••••••• L•• reported 29 state-registered advisory representatives, up from 18 (2021-03-22 to 2021-03-31)
      Mar 31, 2021 · Advisor headcount change · derived
    • Diana Lynn Reeves Nash (Cco) appeared on Schedule A of W••••• F•••••••• S•••••••• L••
      Nov 24, 2020 · Control person joined · fact
    • S•••••• A••••• B•••• (Cco) no longer on Schedule A of W••••• F•••••••• S•••••••• L•• (listed 2020-09-03, absent 2020-11-24)
      Nov 24, 2020 · Control person left · inference
    • Elizabeth Whitney Bullock (Cco) no longer on Schedule A of W••••• F•••••••• S•••••••• L•• (listed 2019-04-23, absent 2019-12-26)
      Dec 26, 2019 · Control person left · inference
    • S•••••• A••••• B•••• (Cco) appeared on Schedule A of W••••• F•••••••• S•••••••• L••
      Dec 26, 2019 · Control person joined · fact
    • W••••• F•••••••• S•••••••• L•• filed its initial SEC registration (Form ADV)
      May 2, 2018 · 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