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.

Former SEC-registered adviser

Waypoint Wealth Partners

Former SEC-registered adviserMill Valley, CaliforniaCRD 131155SEC 801-69262websiteIAPD
Legal name Waypoint Wealth Partners, Inc.
Latest filing Mar 24, 2025
First filing on the tape Mar 30, 2012 · 30 filings
SEC status approved since Jun 17, 2008
RAUM
$1.1B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$1.1B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
12
5 advisory (5.B.1)
Offices
12
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$1.1B as of Mar 24, 2025
Mar 30, 2012$171M then
HNW client RAUM$1.1B as of Mar 24, 2025
Mar 19, 2018$420M then
State-registered IARs (5.B.3)7 as of Mar 24, 2025
Mar 12, 20135 then
Employees (5.A)12 as of Mar 24, 2025
Mar 12, 20135 then
Private funds: no history
RAUM +15% over the last fiscal year+6.2% a year over threeIARs 8 to 7offices 0 to 12
Practice profile
derived from the filing of Mar 24, 2025; every figure names its basis
RAUM per advisor
$153MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
28derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$6.3MderivedHNW RAUM over HNW clients
Average account
$1.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.7derivedItem 5.A over advisors
Advisors per office
0.5derived13 offices incl. principal (1.F.5)
RAUM growth, one year
+15%derivedbetween the last two annual amendments
Advisor growth, one year
-13%derivedItem 5.B.3 between annual amendments
Client growth, one year
+3.7%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
Custody
$385M, 269 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)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$1.1B98%
  • Individuals$17.8M1.7%
  • Charitable organizations$4.3M0.4%
Individual clients
28reported
HNW clients
168reported
Pension plan clients
n/areported
Charitable clients
2reported
Accounts
994reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
$385M for 269 clientsreported
Compensation
% of AUM, fixedreported
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
    • Lee Charles Bowes · Shareholder And Senior Wealth Managercontrol
      since 06/2004 · owns 25% to 50%
    • Eriksen Annette Brinton · Shareholder And Senior Wealth Managercontrol
      since 06/2009 · owns 25% to 50%
    • Brooke Courtney Hutchinson · Chief Operations Officer (01/2024) And Shareholder (01/2020)control
      since 01/2024 · owns 10% to 25%
    • Anne Michelle Mccarthy · Chief Compliance Officer
      since 02/2024 · owns less than 5%
    • Shotwell Jessica Pence · Shareholder
      since 01/2023 · owns 5% to 10%
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Colorado Springs, Co000
    Larkspur, Ca000
    Mill Valley, Ca · principal000
    Novato, Ca000
    San Francisco, Ca000
    Sausalito, Ca000
    Glen Ellen, Ca000
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 887 to 994
      Jan 28, 2025 to Mar 24, 2025
    • Advisory employees · 6 to 5
      Jan 28, 2025 to Mar 24, 2025
    • HNW clients · 156 to 168
      Jan 28, 2025 to Mar 24, 2025
    • Individual clients · 33 to 28
      Jan 28, 2025 to Mar 24, 2025
    • Assets in custody · $314M to $385M
      Jan 28, 2025 to Mar 24, 2025
    • Employees · 13 to 12
      Jan 28, 2025 to Mar 24, 2025
    • Financial planning clients · 101-250 to 101-250
      Jan 28, 2025 to Mar 24, 2025
    • State-registered IARs · 8 to 7
      Jan 28, 2025 to Mar 24, 2025
    • Other offices · 0 to 12
      Jan 28, 2025 to Mar 24, 2025
    • Discretionary RAUM · $936M to $1.1B
      Jan 28, 2025 to Mar 24, 2025
    • HNW RAUM · $911M to $1.1B
      Jan 28, 2025 to Mar 24, 2025
    • Individual RAUM · $19.6M to $17.8M
      Jan 28, 2025 to Mar 24, 2025
    • RAUM · $936M to $1.1B
      Jan 28, 2025 to Mar 24, 2025
    • Accounts · 794 to 887
      Nov 20, 2023 to Feb 27, 2024
    • Charity clients · unset to 2.0
      Nov 20, 2023 to Feb 27, 2024
    • HNW clients · 135 to 156
      Nov 20, 2023 to Feb 27, 2024
    • Individual clients · 43 to 33
      Nov 20, 2023 to Feb 27, 2024
    • Assets in custody · $252M to $314M
      Nov 20, 2023 to Feb 27, 2024
    • Discretionary RAUM · $781M to $936M
      Nov 20, 2023 to Feb 27, 2024
    • HNW RAUM · $748M to $911M
      Nov 20, 2023 to Feb 27, 2024
    • Individual RAUM · $27.7M to $19.6M
      Nov 20, 2023 to Feb 27, 2024
    • RAUM · $781M to $936M
      Nov 20, 2023 to Feb 27, 2024
    • Accounts · 756 to 794
      Nov 8, 2022 to Mar 22, 2023
    • Advisory employees · 5 to 6
      Nov 8, 2022 to Mar 22, 2023
    • HNW clients · 136 to 135
      Nov 8, 2022 to Mar 22, 2023
    • Individual clients · 31 to 43
      Nov 8, 2022 to Mar 22, 2023
    • Assets in custody · $277M to $252M
      Nov 8, 2022 to Mar 22, 2023
    • State-registered IARs · 7 to 8
      Nov 8, 2022 to Mar 22, 2023
    • Discretionary RAUM · $896M to $781M
      Nov 8, 2022 to Mar 22, 2023
    • HNW RAUM · $869M to $748M
      Nov 8, 2022 to Mar 22, 2023
    • Individual RAUM · $18.5M to $27.7M
      Nov 8, 2022 to Mar 22, 2023
    • RAUM · $896M to $781M
      Nov 8, 2022 to Mar 22, 2023
    • HQ city · SAN FRANCISCO to MILL VALLEY
      Mar 28, 2022 to May 16, 2022
    • Accounts · 656 to 756
      Jun 10, 2021 to Mar 28, 2022
    • HNW clients · 114 to 136
      Jun 10, 2021 to Mar 28, 2022
    • Individual clients · 35 to 31
      Jun 10, 2021 to Mar 28, 2022
    • Assets in custody · $229M to $277M
      Jun 10, 2021 to Mar 28, 2022
    • Employees · 10 to 13
      Jun 10, 2021 to Mar 28, 2022
    • Financial planning clients · 51-100 to 101-250
      Jun 10, 2021 to Mar 28, 2022
    • Discretionary RAUM · $630M to $896M
      Jun 10, 2021 to Mar 28, 2022
    Signals
    14 dated events
    • Waypoint Wealth Partners no longer on the SEC adviser roster (last listed 2025-08-01, RAUM $1.1B)
      Sep 2, 2025 · Left the SEC roster · derived
    • Jessica Pence Shore left Waypoint Wealth Partners for Beacon Pointe Advisors, Llc (registered 2025-07-15)
      Aug 19, 2025 · Advisor changed firm · fact
    • Rachel Ann Calvert Sowers left Waypoint Wealth Partners for Beacon Pointe Advisors, Llc (registered 2025-07-21)
      Jul 8, 2025 · Advisor changed firm · fact
    • Daniel Wain Campbell left Waypoint Wealth Partners for Beacon Pointe Advisors, Llc (registered 2025-07-21)
      Jul 8, 2025 · Advisor changed firm · fact
    • Courtney Brooke Hutchinson left Waypoint Wealth Partners for Beacon Pointe Advisors, Llc (registered 2025-07-15)
      Jul 8, 2025 · Advisor changed firm · fact
    • Rania Ghawi left Waypoint Wealth Partners for Beacon Pointe Advisors, Llc (registered 2025-07-30)
      Jul 8, 2025 · Advisor changed firm · fact
    • Annette Eriksen Brinton left Waypoint Wealth Partners for Beacon Pointe Advisors, Llc (registered 2025-07-18)
      Jul 8, 2025 · Advisor changed firm · fact
    • Charles Lee Bowes left Waypoint Wealth Partners for Beacon Pointe Advisors, Llc (registered 2025-07-18)
      Jul 8, 2025 · Advisor changed firm · fact
    • Waypoint Wealth Partners's advisors moved to Beacon Pointe Advisors, LLC (Mill Valley, CA): 5 of 7 registered, on the same day
      Jul 8, 2025 · Firm absorbed (people side) · derived
    • Waypoint Wealth Partners reported 12 offices beyond its principal office, up from 0 (2025-01-28 to 2025-03-24)
      Mar 24, 2025 · Office count change · derived
    • Jill Carothers left Waypoint Wealth Partners for Rebalance Llc (registered 2024-09-30)
      Sep 3, 2024 · Advisor changed firm · fact
    • Christopher James Rose left Waypoint Wealth Partners for Aptus Financial, Llc (registered 2024-03-22)
      Mar 25, 2024 · Advisor changed firm · fact
    • Waypoint Wealth Partners reported RAUM $896.4M, up 42% from $629.6M (2021-06-10 to 2022-03-28)
      Mar 28, 2022 · RAUM change · derived
    • Brooke Courtney Hutchinson (Chief Compliance Officer (03/2020) And Shareholder (01/2020)) appeared on Schedule A of Waypoint Wealth Partners
      Mar 25, 2020 · Control person joined · 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