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
M•••••••• • T•••••••• I•••
Latest filing Feb 10, 2026
First filing on the tape Feb 8, 2012 · 12 filings
SEC status approved since May 24, 2021
RAUM
$155M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$155M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$77.5M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$155M as of Feb 10, 2026
Mar 27, 2012$57.0M then
HNW client RAUM$125M as of Feb 10, 2026
Mar 15, 2022$115M then
State-registered IARs (5.B.3)2 as of Feb 10, 2026
Mar 27, 20120 then
Employees (5.A)2 as of Feb 10, 2026
Mar 15, 20222 then
Private funds: no history
RAUM +6.4% over the last fiscal year+11% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Feb 10, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $77.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 63derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $416,667derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.6%derived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, otherreportedItem 5.G
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$125M81%
- Individuals$29.9M19%
- Individual clients
- 71reported
- HNW clients
- 54reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 372reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••••• E••• T•••••••Certified Financial Planner | San Diego, Ca | Nov 10, 2021 | 30 y | 0 |
| L••••• R••••• M••••••••Certified Financial Planner | San Diego, Ca | Apr 22, 2025 | 33 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••••• L•••••• R••••• · Cfocontrolsince 01/2001 · owns 50% to 75%
- T•••••••• B••••••• E••• · Ceo/Chief Compliance Officercontrolsince 01/2001 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| San Diego, Ca · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 398 to 372Jan 22, 2025 to Feb 10, 2026
- HNW clients · 52 to 54Jan 22, 2025 to Feb 10, 2026
- Individual clients · 75 to 71Jan 22, 2025 to Feb 10, 2026
- Discretionary RAUM · $146M to $155MJan 22, 2025 to Feb 10, 2026
- HNW RAUM · $113M to $125MJan 22, 2025 to Feb 10, 2026
- Individual RAUM · $32.3M to $29.9MJan 22, 2025 to Feb 10, 2026
- RAUM · $146M to $155MJan 22, 2025 to Feb 10, 2026
- Accounts · 372 to 398Feb 13, 2024 to Jan 22, 2025
- HNW clients · 48 to 52Feb 13, 2024 to Jan 22, 2025
- Individual clients · 69 to 75Feb 13, 2024 to Jan 22, 2025
- Financial planning clients · 101-250 to 101-250Feb 13, 2024 to Jan 22, 2025
- Discretionary RAUM · $127M to $146MFeb 13, 2024 to Jan 22, 2025
- HNW RAUM · $92.7M to $113MFeb 13, 2024 to Jan 22, 2025
- Individual RAUM · $34.2M to $32.3MFeb 13, 2024 to Jan 22, 2025
- RAUM · $127M to $146MFeb 13, 2024 to Jan 22, 2025
- Accounts · 382 to 372Feb 24, 2023 to Feb 13, 2024
- HNW clients · 41 to 48Feb 24, 2023 to Feb 13, 2024
- Individual clients · 87 to 69Feb 24, 2023 to Feb 13, 2024
- Discretionary RAUM · $114M to $127MFeb 24, 2023 to Feb 13, 2024
- HNW RAUM · $77.3M to $92.7MFeb 24, 2023 to Feb 13, 2024
- Individual RAUM · $36.4M to $34.2MFeb 24, 2023 to Feb 13, 2024
- RAUM · $114M to $127MFeb 24, 2023 to Feb 13, 2024
- Accounts · 390 to 382Jun 14, 2022 to Feb 24, 2023
- HNW clients · 58 to 41Jun 14, 2022 to Feb 24, 2023
- Individual clients · 77 to 87Jun 14, 2022 to Feb 24, 2023
- Discretionary RAUM · $150M to $114MJun 14, 2022 to Feb 24, 2023
- HNW RAUM · $115M to $77.3MJun 14, 2022 to Feb 24, 2023
- Individual RAUM · $35.0M to $36.4MJun 14, 2022 to Feb 24, 2023
- RAUM · $150M to $114MJun 14, 2022 to Feb 24, 2023
- Accounts · 395 to 390Apr 21, 2021 to Mar 15, 2022
- HNW clients · 42 to 58Apr 21, 2021 to Mar 15, 2022
- Individual clients · 90 to 77Apr 21, 2021 to Mar 15, 2022
- Discretionary RAUM · $118M to $150MApr 21, 2021 to Mar 15, 2022
- HNW RAUM · $77.0M to $115MApr 21, 2021 to Mar 15, 2022
- Individual RAUM · $42.0M to $35.0MApr 21, 2021 to Mar 15, 2022
- Non-discretionary RAUM · $1.3M to $0Apr 21, 2021 to Mar 15, 2022
- RAUM · $119M to $150MApr 21, 2021 to Mar 15, 2022
- Accounts · 408 to 395Jun 21, 2012 to Apr 21, 2021
- Advisory employees · unset to 2.0Jun 21, 2012 to Apr 21, 2021
- HNW clients · unset to 42.0Jun 21, 2012 to Apr 21, 2021
Signals
1 dated events
- M•••••••• • T•••••••• I••• filed its initial SEC registration (Form ADV)Apr 21, 2021 · 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.
How to reach
public business contact points only, each with its source
- Business phone
- 858-547-1845reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- w••.f•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 858-547-1845reportedpublic record, Form ADV, Feb 10, 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
- $77.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026