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
D•• W••••• M••••••••• L••
Latest filing Jul 8, 2026
First filing on the tape Jul 21, 2021 · 14 filings
SEC status approved since Aug 24, 2021
RAUM
$221M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
90%
$200M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$73.7M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$221M as of Jul 8, 2026
Mar 31, 2022$137M then
HNW client RAUM$176M as of Jul 8, 2026
Mar 31, 2022$101M then
State-registered IARs (5.B.3)3 as of Jul 8, 2026
Mar 31, 20223 then
Employees (5.A)3 as of Jul 8, 2026
Mar 31, 20223 then
Private funds: no history
RAUM +23% over the last fiscal year+18% a year over threeIARs 4 to 3
Practice profile
derived from the filing of Jul 8, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $73.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 57derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $341,862derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 9.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $54.8M, 67 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$176M80%
- Individuals$23.4M11%
- Pension and profit-sharing plans$19.0M8.6%
- Charitable organizations$2.3M1.0%
- Corporations and businesses$270,2750.1%
- Individual clients
- 89reported
- HNW clients
- 82reported
- Pension plan clients
- 18reported
- Charitable clients
- n/areported
- Accounts
- 647reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $54.8M for 67 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.9 fund_share=0.0 institutional_share=0.1 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••• D••• D•••••Personal Financial Specialist | San Jose, Ca | Mar 17, 2005 | 30 y | 0 |
| D•••• R•• R••••••••Chartered Financial Consultant | San Jose, Ca | Mar 17, 2005 | 31 y | 0 |
| T•••• L•• N••••••• | San Jose, Ca | Jul 8, 2021 | 25 y | 4 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 33% of current headcount1 left over 36 months
Left, latest
- D••••• L•••••• D••••• to C••••• P••••••• L••Jul 8, 2026 · RIA to RIA
- R••••• C•••••••• A••• to C•••• D••• F•••••••• L••• P•••••••May 11, 2020 · RIA to a state-registered adviser
Joined, latest
- T•••• L•• N••••••• from B••••••••• S•••••••• W•••••• L••Jul 8, 2021 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••• R••••• D••• · Membercontrolsince 01/2005 · owns 75% or more
- N•••••••• T••••• L•• · Member, Chief Compliance Officercontrolsince 05/2021 · owns 10% to 25%
- R••••••••• D••••• R•• · Membercontrolsince 01/2005 · owns 10% to 25%
Related persons
Schedule D 7.A
- D••••• A••••••••• C•••• I•••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| San Jose, Ca · principal | 3 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 4 to 3Feb 9, 2026 to Jul 8, 2026
- Employees · 4 to 3Feb 9, 2026 to Jul 8, 2026
- State-registered IARs · 4 to 3Feb 9, 2026 to Jul 8, 2026
- Accounts · 545 to 647Mar 20, 2025 to Feb 9, 2026
- HNW clients · 70 to 82Mar 20, 2025 to Feb 9, 2026
- Individual clients · 96 to 89Mar 20, 2025 to Feb 9, 2026
- Assets in custody · $6.6M to $54.8MMar 20, 2025 to Feb 9, 2026
- Discretionary RAUM · $179M to $219MMar 20, 2025 to Feb 9, 2026
- HNW RAUM · $137M to $176MMar 20, 2025 to Feb 9, 2026
- Individual RAUM · $25.1M to $23.4MMar 20, 2025 to Feb 9, 2026
- Non-discretionary RAUM · $964,798 to $1.7MMar 20, 2025 to Feb 9, 2026
- Pension RAUM · $14.6M to $19.0MMar 20, 2025 to Feb 9, 2026
- RAUM · $180M to $221MMar 20, 2025 to Feb 9, 2026
- Accounts · 536 to 545Mar 27, 2024 to Mar 20, 2025
- HNW clients · 83 to 70Mar 27, 2024 to Mar 20, 2025
- Individual clients · 93 to 96Mar 27, 2024 to Mar 20, 2025
- Pension plan clients · 15 to 18Mar 27, 2024 to Mar 20, 2025
- Assets in custody · $9.3M to $6.6MMar 27, 2024 to Mar 20, 2025
- Financial planning clients · 1-10 to 1-10Mar 27, 2024 to Mar 20, 2025
- Discretionary RAUM · $165M to $179MMar 27, 2024 to Mar 20, 2025
- HNW RAUM · $134M to $137MMar 27, 2024 to Mar 20, 2025
- Individual RAUM · $17.5M to $25.1MMar 27, 2024 to Mar 20, 2025
- Non-discretionary RAUM · $1.1M to $964,798Mar 27, 2024 to Mar 20, 2025
- Pension RAUM · $11.3M to $14.6MMar 27, 2024 to Mar 20, 2025
- RAUM · $166M to $180MMar 27, 2024 to Mar 20, 2025
- Accounts · 556 to 536Dec 4, 2023 to Mar 27, 2024
- Advisory employees · 3 to 4Dec 4, 2023 to Mar 27, 2024
- Advisory activities · 3 to 5Dec 4, 2023 to Mar 27, 2024
- HNW clients · 68 to 83Dec 4, 2023 to Mar 27, 2024
- Individual clients · 104 to 93Dec 4, 2023 to Mar 27, 2024
- Pension plan clients · 10 to 15Dec 4, 2023 to Mar 27, 2024
- Pooled vehicle clients · unset to 0.0Dec 4, 2023 to Mar 27, 2024
- Assets in custody · unset to 9333973.0Dec 4, 2023 to Mar 27, 2024
- Custody of client assets · false to trueDec 4, 2023 to Mar 27, 2024
- Employees · 3 to 4Dec 4, 2023 to Mar 27, 2024
- State-registered IARs · 3 to 4Dec 4, 2023 to Mar 27, 2024
- Discretionary RAUM · $149M to $165MDec 4, 2023 to Mar 27, 2024
- HNW RAUM · $116M to $134MDec 4, 2023 to Mar 27, 2024
- Individual RAUM · $25.6M to $17.5MDec 4, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $1.3M to $1.1MDec 4, 2023 to Mar 27, 2024
Signals
2 dated events
- D••••• L•••••• D••••• left D•• W••••• M••••••••• L•• for C••••• P••••••• L•• (registered 2026-07-15)Jul 8, 2026 · Advisor changed firm · fact
- D•• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Jul 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
- 408-260-9606reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 408-260-9600reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/dwr-wealth-management-llcreportedpublic record, Form ADV, Sep 18, 2026
- Website
- dwrwealth.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (408) 260-9600reportedpublic record, Form ADV, Jul 8, 2026
- Contact form
- dwrwealth.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- dwrwealth.com/who-we-arereportedpublished by the firm, firm site, Sep 16, 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
- $73.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026