DFX Intelligence
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W•• A••••••• I•••
Independent wealth managerSEC-registered· Culver City, California
Independent wealth manager, based in Culver City, California, reporting $280M of regulatory assets across 2 registered advisors.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $280M
- Advisors
- 2
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- +22%
- Private clients
- 72% of RAUM, $202M
Form ADV
IAPD
IAPD registration history
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- RAUM a year earlier $230MRAUM now $280M
- employees (Item 5.A) 2Peer median 0
- Contact points 1
Every filed figure, and the identifiersCRD 133611 · SEC 801-119043 · 19 filingsShowHide
CRD 133611SEC 801-119043First filing on the tape Jan 4, 2012, latest Mar 10, 2026SEC status approved since Jul 30, 2020IAPD
RAUM
$280M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
72%
$202M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$140M
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
19 filings and snapshots on the tape
RAUM$280M as of Mar 10, 2026
Mar 5, 2012$35.0M then
HNW client RAUM$199M as of Mar 10, 2026
Mar 4, 2021$185M then
State-registered IARs (5.B.3)2 as of Mar 10, 2026
Mar 5, 20120 then
Employees (5.A)2 as of Mar 10, 2026
Mar 4, 202125 then
Private funds: no history
RAUM +22% over the last fiscal year+18% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 10, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- $140MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 27derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.2MderivedHNW RAUM over HNW clients
- Average account
- $918,432derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%derivedof RAUM
- Institutional
- 28%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
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -10%derived
- Compensation
- otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $280M, 110 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)
- 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$199M71%
- Pension and profit-sharing plans$78.1M28%
- Individuals$2.9M1.0%
- Individual clients
- 16reported
- HNW clients
- 38reported
- Pension plan clients
- 56reported
- Charitable clients
- n/areported
- Accounts
- 305reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $280M for 110 clientsreported
- Compensation
- n/areported
- Class basis
- private_client_share=0.72 fund_share=0.0 institutional_share=0.28 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 |
|---|---|---|---|---|
| J•••••• C•••••• L•••• W••••• | Culver City, Ca | Mar 6, 2025 | 30 y | 0 |
| G••• L••••• K•••Chartered Financial Analyst | Culver City, Ca | Mar 6, 2025 | 16 y | 1 |
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
- G••• L••••• K••• from P••••••••• I••••••••• M••••••••• L••Mar 6, 2025 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W•••••• J••••••• C•••••• L•••• · Chief Compliance Officer, Chief Executive Officer, Chief Legal Officer, Chief Financial Officer, Chief Operations Officer, Direccontrolsince 10/1995 · 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 |
|---|---|---|---|---|---|
| Culver City, Ca · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- employee count dropChange between filings · filing Mar 10, 2026employees (Item 5.A) moved from 30.0 to 2.0 (-93.0%) between the annual amendments of 2025-03-10 and 2026-03-10; the peer median change was 0.0% (506 comparable advisers, 0.0th percentile of changes)peers: independent wealth managers, $100M to $500M (506) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 263 to 305Jul 29, 2025 to Mar 10, 2026
- HNW clients · 43 to 38Jul 29, 2025 to Mar 10, 2026
- Individual clients · 17 to 16Jul 29, 2025 to Mar 10, 2026
- Pension plan clients · 46 to 56Jul 29, 2025 to Mar 10, 2026
- Assets in custody · $230M to $280MJul 29, 2025 to Mar 10, 2026
- Discretionary RAUM · $230M to $266MJul 29, 2025 to Mar 10, 2026
- HNW RAUM · $157M to $199MJul 29, 2025 to Mar 10, 2026
- Individual RAUM · $22.3M to $2.9MJul 29, 2025 to Mar 10, 2026
- Non-discretionary RAUM · $0 to $13.7MJul 29, 2025 to Mar 10, 2026
- Pension RAUM · $51.2M to $78.1MJul 29, 2025 to Mar 10, 2026
- RAUM · $230M to $280MJul 29, 2025 to Mar 10, 2026
- Succession · true to falseJul 29, 2025 to Mar 10, 2026
- Business name · J•••••• C•••••• L•••• W••••• to W•• A••••••• I•••Mar 10, 2025 to Jul 29, 2025
- Employees · 30 to 2Mar 10, 2025 to Jul 29, 2025
- Financial planning clients · 101-250 to 101-250Mar 10, 2025 to Jul 29, 2025
- Legal name · W••••• W••••• M••••••••• I••. to W•• A••••••• I•••Mar 10, 2025 to Jul 29, 2025
- Succession · false to trueMar 10, 2025 to Jul 29, 2025
- Accounts · 250 to 263Mar 14, 2024 to Mar 10, 2025
- Advisory employees · 1 to 2Mar 14, 2024 to Mar 10, 2025
- HNW clients · 40 to 43Mar 14, 2024 to Mar 10, 2025
- Individual clients · 20 to 17Mar 14, 2024 to Mar 10, 2025
- Pension plan clients · unset to 46.0Mar 14, 2024 to Mar 10, 2025
- Assets in custody · $200M to $230MMar 14, 2024 to Mar 10, 2025
- Financial planning clients · 51-100 to 101-250Mar 14, 2024 to Mar 10, 2025
- State-registered IARs · 1 to 2Mar 14, 2024 to Mar 10, 2025
- Discretionary RAUM · $200M to $230MMar 14, 2024 to Mar 10, 2025
- HNW RAUM · $190M to $157MMar 14, 2024 to Mar 10, 2025
- Individual RAUM · $9.6M to $22.3MMar 14, 2024 to Mar 10, 2025
- Pension RAUM · unset to 51246613.0Mar 14, 2024 to Mar 10, 2025
- RAUM · $200M to $230MMar 14, 2024 to Mar 10, 2025
- Accounts · 200 to 250Mar 15, 2023 to Mar 14, 2024
- HNW clients · 35 to 40Mar 15, 2023 to Mar 14, 2024
- Individual clients · 19 to 20Mar 15, 2023 to Mar 14, 2024
- Assets in custody · $172M to $200MMar 15, 2023 to Mar 14, 2024
- Employees · 28 to 30Mar 15, 2023 to Mar 14, 2024
- Discretionary RAUM · $172M to $200MMar 15, 2023 to Mar 14, 2024
- HNW RAUM · $167M to $190MMar 15, 2023 to Mar 14, 2024
- Individual RAUM · $5.0M to $9.6MMar 15, 2023 to Mar 14, 2024
- RAUM · $172M to $200MMar 15, 2023 to Mar 14, 2024
- Employees · 26 to 28Mar 21, 2022 to Mar 15, 2023
Signals
3 dated events
- ••• LockedJul 29, 2025 · Succession (Item 4) · fact
- ••• LockedJun 11, 2020 · First SEC registration · fact
- ••• LockedJan 26, 2012 · Succession (Item 4) · 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
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Mar 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
- $140Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026