DFX Intelligence
RIA Intelligence
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Former SEC-registered adviser
D• W••••• M••••••••• G••••• L••
Latest filing Jul 6, 2023
First filing on the tape Feb 13, 2017 · 18 filings
RAUM
$213M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$213M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$213M as of Mar 30, 2023
Mar 20, 2018$129M then
HNW client RAUM$98.1M as of Mar 30, 2023
Mar 20, 2018$75.4M then
State-registered IARs (5.B.3)2 as of Mar 30, 2023
Mar 20, 20183 then
Employees (5.A)5 as of Mar 30, 2023
Mar 20, 20183 then
Private funds: no history
RAUM -3.3% over the last fiscal year+9.1% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jul 6, 2023; every figure names its basis
- RAUM per advisor
- $107MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 142derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.4MderivedHNW RAUM over HNW clients
- Average account
- $753,909derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -3.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.7%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$115M54%
- High-net-worth individuals$98.1M46%
- Individual clients
- 212reported
- HNW clients
- 71reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 283reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
Left, latest
- B•••• J•••••• P••••• to L•• F•••••••• L••Mar 18, 2024 · RIA to affiliated broker-dealer or bank
- M•••••• K•••• D•••••• to L•• F•••••••• L••Mar 18, 2024 · RIA to affiliated broker-dealer or bank
Joined, latest
- M•••••• K•••• D•••••• from D•••••• W••••• M•••••••••Jan 3, 2012 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for L•• F•••••••• L••Mar 18, 2024 · San Diego, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••••• M••••••• K•••• · Chief Compliance Officercontrolsince 07/2021 · 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 |
|---|---|---|---|---|---|
| San Diego, Ca · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 273 to 283Jan 31, 2022 to Mar 30, 2023
- Individual clients · 202 to 212Jan 31, 2022 to Mar 30, 2023
- Employees · 3 to 5Jan 31, 2022 to Mar 30, 2023
- Financial planning clients · 26-50 to 11-25Jan 31, 2022 to Mar 30, 2023
- Discretionary RAUM · $221M to $213MJan 31, 2022 to Mar 30, 2023
- HNW RAUM · $102M to $98.1MJan 31, 2022 to Mar 30, 2023
- Individual RAUM · $119M to $115MJan 31, 2022 to Mar 30, 2023
- RAUM · $221M to $213MJan 31, 2022 to Mar 30, 2023
- Accounts · 258 to 273Aug 18, 2021 to Jan 31, 2022
- Advisory employees · 3 to 2Aug 18, 2021 to Jan 31, 2022
- BD registered reps · 3 to 2Aug 18, 2021 to Jan 31, 2022
- HNW clients · 67 to 71Aug 18, 2021 to Jan 31, 2022
- Individual clients · 191 to 202Aug 18, 2021 to Jan 31, 2022
- State-registered IARs · 3 to 2Aug 18, 2021 to Jan 31, 2022
- Discretionary RAUM · $182M to $221MAug 18, 2021 to Jan 31, 2022
- HNW RAUM · $112M to $102MAug 18, 2021 to Jan 31, 2022
- Individual RAUM · $70.3M to $119MAug 18, 2021 to Jan 31, 2022
- Non-discretionary RAUM · $493,372 to $0Aug 18, 2021 to Jan 31, 2022
- RAUM · $183M to $221MAug 18, 2021 to Jan 31, 2022
- Business name · D••• W••••• M••••••••• G••••• L•• to D• W••••• M••••••••• G••••• L••Mar 30, 2021 to Jul 12, 2021
- Legal name · D••• W••••• M••••••••• G••••• L•• to D• W••••• M••••••••• G••••• L••Mar 30, 2021 to Jul 12, 2021
- Accounts · 264 to 258Nov 23, 2020 to Mar 30, 2021
- HNW clients · 45 to 67Nov 23, 2020 to Mar 30, 2021
- Individual clients · 219 to 191Nov 23, 2020 to Mar 30, 2021
- Discretionary RAUM · $164M to $182MNov 23, 2020 to Mar 30, 2021
- HNW RAUM · $79.7M to $112MNov 23, 2020 to Mar 30, 2021
- Individual RAUM · $84.5M to $70.3MNov 23, 2020 to Mar 30, 2021
- Non-discretionary RAUM · $338,831 to $493,372Nov 23, 2020 to Mar 30, 2021
- RAUM · $164M to $183MNov 23, 2020 to Mar 30, 2021
- Accounts · 251 to 264Sep 13, 2019 to Mar 27, 2020
- HNW clients · 42 to 45Sep 13, 2019 to Mar 27, 2020
- Individual clients · 207 to 219Sep 13, 2019 to Mar 27, 2020
- Pension plan clients · 3.0 to unsetSep 13, 2019 to Mar 27, 2020
- Financial planning clients · 11-25 to 26-50Sep 13, 2019 to Mar 27, 2020
- Discretionary RAUM · $138M to $164MSep 13, 2019 to Mar 27, 2020
- HNW RAUM · $74.4M to $79.7MSep 13, 2019 to Mar 27, 2020
- Individual RAUM · $63.5M to $84.5MSep 13, 2019 to Mar 27, 2020
- Non-discretionary RAUM · $2.0M to $338,831Sep 13, 2019 to Mar 27, 2020
- Pension RAUM · 1989608.0 to unsetSep 13, 2019 to Mar 27, 2020
- RAUM · $140M to $164MSep 13, 2019 to Mar 27, 2020
Signals
5 dated events
- B•••• J•••••• P••••• left D• W••••• M••••••••• G••••• L•• for L•• F•••••••• L•• (registered 2024-02-15)Mar 18, 2024 · Advisor changed firm · fact
- M•••••• K•••• D•••••• left D• W••••• M••••••••• G••••• L•• for L•• F•••••••• L•• (registered 2024-02-15)Mar 18, 2024 · Advisor changed firm · fact
- 2 advisors left D• W••••• M••••••••• G••••• L•• (San Diego, CA) for L•• F•••••••• L•• on the same dayMar 18, 2024 · Team lift-out · derived
- Ann Jeanne Bradfordodorico (Principal, Chief Compliance Officer & Co-Owner (50%)) no longer on Schedule A of D• W••••• M••••••••• G••••• L•• (listed 2021-03-30, absent 2021-07-12)Jul 12, 2021 · Control person left · inference
- D••• W••••• M••••••••• G••••• L•• filed its initial SEC registration (Form ADV)Feb 13, 2017 · 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.
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