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••• O•• C••••••• L••
Latest filing Sep 11, 2025
First filing on the tape Feb 8, 2012 · 25 filings
SEC status approved since Sep 17, 2003
RAUM
$526M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
90%
$471M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$526M as of Sep 11, 2025
Feb 8, 2012$224M then
HNW client RAUM$462M as of Sep 11, 2025
Feb 28, 2018$281M then
State-registered IARs (5.B.3)4 as of Sep 11, 2025
Feb 8, 20120 then
Employees (5.A)8 as of Sep 11, 2025
Feb 4, 20134 then
Private funds: no history
RAUM +19% over the last fiscal year+5.3% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Sep 11, 2025; every figure names its basis
- RAUM per advisor
- $131MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 31derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.4MderivedHNW RAUM over HNW clients
- Average account
- $1.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 8.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $242M, 113 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$462M88%
- Charitable organizations$47.0M8.9%
- Individuals$9.5M1.8%
- Corporations and businesses$7.4M1.4%
- Individual clients
- 40reported
- HNW clients
- 85reported
- Pension plan clients
- n/areported
- Charitable clients
- 3reported
- Accounts
- 336reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $242M for 113 clientsreported
- 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
3 left, 0 joined in 12 months
net -3 in 12 months0 left in 90 days0 joined in 90 days3 left over 36 months
Left, latest
- G••••• I•• C•••••••• to M••••• G••••• A••••••• I•••Dec 9, 2025 · RIA to RIA
- B•••• B•••• S••••• to M••••• G••••• A••••••• I•••Dec 9, 2025 · RIA to RIA
- J••••••• T••••• H••••• to M••••• G••••• A••••••• I•••Dec 9, 2025 · RIA to RIA
- I•• B•••••• T••••••• B•••• to J••• M••••• S••••••••• L••Apr 18, 2018 · RIA to wirehouse
- T••• J••••• W••••••• to C••••• P••••••• L••Jul 18, 2007 · Other
Joined, latest
none on the tape
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for M••••• G••••• A••••••• I•••Dec 9, 2025 · Eagle, Id
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••••• G•••••• I•• · Trustee Of G••••• I• C•••••••• L••••• T•••• U•••• M•••• 3•• 2•••controlsince 03/2004 · owns less than 5%
- S•••••• B••••• B•••• · President & Ccocontrolsince 08/2003 · owns less than 5%
- S•••••• L•••• T•••• · Partnercontrolsince 08/2003 · owns less than 5%
Entity owners
- G••••• I• C•••••••• L••••• T•••• U•••• M•••• 3•• 2••• · Memberdirect · owns less than 5%
- S••••• F••••• T•••• U•••• N••••••• 2• 2••• · Memberdirect · owns 75% or more
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 |
|---|---|---|---|---|---|
| Eagle, Id · principal | 0 | 0 | 2 | 1 | |
| W•••Lake Village, Ca | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- W•••Lake Village, CA2 employees
What changed
consecutive filings, newest first
- Financial planning clients · 0 to 0Mar 17, 2025 to Sep 11, 2025
- Accounts · 328 to 336Feb 6, 2024 to Mar 17, 2025
- Charity clients · unset to 3.0Feb 6, 2024 to Mar 17, 2025
- Corporate clients · unset to 1.0Feb 6, 2024 to Mar 17, 2025
- HNW clients · 84 to 85Feb 6, 2024 to Mar 17, 2025
- Individual clients · 35 to 40Feb 6, 2024 to Mar 17, 2025
- Assets in custody · $180M to $242MFeb 6, 2024 to Mar 17, 2025
- Discretionary RAUM · $383M to $522MFeb 6, 2024 to Mar 17, 2025
- HNW RAUM · $382M to $462MFeb 6, 2024 to Mar 17, 2025
- Individual RAUM · $7.7M to $9.5MFeb 6, 2024 to Mar 17, 2025
- Non-discretionary RAUM · $56.5M to $3.6MFeb 6, 2024 to Mar 17, 2025
- RAUM · $440M to $526MFeb 6, 2024 to Mar 17, 2025
- Accounts · 311 to 328Mar 8, 2023 to Feb 6, 2024
- HNW clients · 80 to 84Mar 8, 2023 to Feb 6, 2024
- Individual clients · 34 to 35Mar 8, 2023 to Feb 6, 2024
- Assets in custody · $169M to $180MMar 8, 2023 to Feb 6, 2024
- Financial planning clients · unset to 0Mar 8, 2023 to Feb 6, 2024
- Discretionary RAUM · $356M to $383MMar 8, 2023 to Feb 6, 2024
- HNW RAUM · $343M to $382MMar 8, 2023 to Feb 6, 2024
- Individual RAUM · $7.6M to $7.7MMar 8, 2023 to Feb 6, 2024
- Non-discretionary RAUM · $47.5M to $56.5MMar 8, 2023 to Feb 6, 2024
- RAUM · $403M to $440MMar 8, 2023 to Feb 6, 2024
- Accounts · 321 to 311Feb 28, 2022 to Mar 8, 2023
- HNW clients · 83 to 80Feb 28, 2022 to Mar 8, 2023
- Individual clients · 38 to 34Feb 28, 2022 to Mar 8, 2023
- Assets in custody · $166M to $169MFeb 28, 2022 to Mar 8, 2023
- Discretionary RAUM · $401M to $356MFeb 28, 2022 to Mar 8, 2023
- HNW RAUM · $384M to $343MFeb 28, 2022 to Mar 8, 2023
- Individual RAUM · $7.0M to $7.6MFeb 28, 2022 to Mar 8, 2023
- Non-discretionary RAUM · $48.8M to $47.5MFeb 28, 2022 to Mar 8, 2023
- RAUM · $450M to $403MFeb 28, 2022 to Mar 8, 2023
- Accounts · 318 to 321Jun 3, 2021 to Feb 28, 2022
- HNW clients · 76 to 83Jun 3, 2021 to Feb 28, 2022
- Individual clients · 40 to 38Jun 3, 2021 to Feb 28, 2022
- Assets in custody · $140M to $166MJun 3, 2021 to Feb 28, 2022
- Employees · 7 to 8Jun 3, 2021 to Feb 28, 2022
- HQ city · W•••LAKE VILLAGE to EAGLEJun 3, 2021 to Feb 28, 2022
- HQ state · CA to IDJun 3, 2021 to Feb 28, 2022
- Discretionary RAUM · $345M to $401MJun 3, 2021 to Feb 28, 2022
- HNW RAUM · $322M to $384MJun 3, 2021 to Feb 28, 2022
Signals
5 dated events
- W••• O•• C••••••• L•• no longer on the SEC adviser roster (last listed 2025-12-20, RAUM $525.6M)Jan 2, 2026 · Left the SEC roster · derived
- J••••••• T••••• H••••• left W••• O•• C••••••• L•• for M••••• G••••• A••••••• I••• (registered 2025-09-16)Dec 9, 2025 · Advisor changed firm · fact
- G••••• I•• C•••••••• left W••• O•• C••••••• L•• for M••••• G••••• A••••••• I••• (registered 2025-09-15)Dec 9, 2025 · Advisor changed firm · fact
- B•••• B•••• S••••• left W••• O•• C••••••• L•• for M••••• G••••• A••••••• I••• (registered 2025-09-12)Dec 9, 2025 · Advisor changed firm · fact
- 2 advisors left W••• O•• C••••••• L•• (Eagle, ID) for M••••• G••••• A••••••• I••• on the same dayDec 9, 2025 · Team lift-out · derived
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