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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Former SEC-registered adviser

W•••••• F•••••••• A•••••••• L••

Former SEC-registered adviserGoleta, CaliforniaCRD 135834SEC 801-79284IAPD
Latest filing Feb 28, 2024
First filing on the tape Feb 25, 2014 · 22 filings
RAUM
$281M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
59%
$166M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$281M as of Feb 28, 2024
Mar 23, 2015$109M then
HNW client RAUM$117M as of Feb 28, 2024
Mar 9, 2018$112M then
State-registered IARs (5.B.3)4 as of Feb 28, 2024
Mar 23, 20155 then
Employees (5.A)7 as of Feb 28, 2024
Mar 23, 20157 then
Private funds: no history
RAUM +17% over the last fiscal year+6.3% a year over threeIARs 6 to 4
Practice profile
derived from the filing of Feb 28, 2024; every figure names its basis
RAUM per advisor
$70.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
43derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.4MderivedHNW RAUM over HNW clients
Average account
$613,895derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
3.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.8derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+17%derivedbetween the last two annual amendments
Advisor growth, one year
-33%derivedItem 5.B.3 between annual amendments
Client growth, one year
-2.3%derived
Compensation
percentage of assets, 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
$173M, 104 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$117M42%
  • Corporations and businesses$106M38%
  • Individuals$49.0M17%
  • Pension and profit-sharing plans$9.4M3.3%
  • Charitable organizations$83,9170.0%
Individual clients
124reported
HNW clients
48reported
Pension plan clients
5reported
Charitable clients
1reported
Accounts
457reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$173M for 104 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
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
    • B••••••• Y••••• A••••• · Membercontrol
      since 03/2020 · owns 50% to 75%
    • S••••••••• K•••• B•••• · Member/Partner & Chief Compliance Officercontrol
      since 07/2001 · owns 50% to 75%
    Related persons
    Schedule D 7.A
    • W•••••• • C•• L••
      insurancen
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Goleta, Ca · principal000
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 473 to 457
      Apr 27, 2023 to Feb 28, 2024
    • Advisory employees · 7 to 6
      Apr 27, 2023 to Feb 28, 2024
    • HNW clients · 46 to 48
      Apr 27, 2023 to Feb 28, 2024
    • Individual clients · 130 to 124
      Apr 27, 2023 to Feb 28, 2024
    • Pension plan clients · 8 to 5
      Apr 27, 2023 to Feb 28, 2024
    • Assets in custody · $127M to $173M
      Apr 27, 2023 to Feb 28, 2024
    • Employees · 9 to 7
      Apr 27, 2023 to Feb 28, 2024
    • State-registered IARs · 6 to 4
      Apr 27, 2023 to Feb 28, 2024
    • Discretionary RAUM · $239M to $281M
      Apr 27, 2023 to Feb 28, 2024
    • HNW RAUM · $100M to $117M
      Apr 27, 2023 to Feb 28, 2024
    • Individual RAUM · $49.2M to $49.0M
      Apr 27, 2023 to Feb 28, 2024
    • Pension RAUM · $8.1M to $9.4M
      Apr 27, 2023 to Feb 28, 2024
    • RAUM · $239M to $281M
      Apr 27, 2023 to Feb 28, 2024
    • Accounts · 462 to 473
      Nov 22, 2022 to Mar 28, 2023
    • Corporate clients · 1 to 2
      Nov 22, 2022 to Mar 28, 2023
    • HNW clients · 44 to 46
      Nov 22, 2022 to Mar 28, 2023
    • Individual clients · 133 to 130
      Nov 22, 2022 to Mar 28, 2023
    • Pension plan clients · 7 to 8
      Nov 22, 2022 to Mar 28, 2023
    • Assets in custody · $143M to $127M
      Nov 22, 2022 to Mar 28, 2023
    • Employees · 8 to 9
      Nov 22, 2022 to Mar 28, 2023
    • State-registered IARs · 7 to 6
      Nov 22, 2022 to Mar 28, 2023
    • Discretionary RAUM · $286M to $239M
      Nov 22, 2022 to Mar 28, 2023
    • HNW RAUM · $116M to $100M
      Nov 22, 2022 to Mar 28, 2023
    • Individual RAUM · $56.8M to $49.2M
      Nov 22, 2022 to Mar 28, 2023
    • Pension RAUM · $9.1M to $8.1M
      Nov 22, 2022 to Mar 28, 2023
    • RAUM · $286M to $239M
      Nov 22, 2022 to Mar 28, 2023
    • Accounts · 460 to 462
      Mar 22, 2021 to Mar 28, 2022
    • HNW clients · 42 to 44
      Mar 22, 2021 to Mar 28, 2022
    • Individual clients · 127 to 133
      Mar 22, 2021 to Mar 28, 2022
    • Pension plan clients · 6 to 7
      Mar 22, 2021 to Mar 28, 2022
    • Assets in custody · $34.0M to $143M
      Mar 22, 2021 to Mar 28, 2022
    • Employees · 7 to 8
      Mar 22, 2021 to Mar 28, 2022
    • Discretionary RAUM · $233M to $286M
      Mar 22, 2021 to Mar 28, 2022
    • HNW RAUM · $50.5M to $116M
      Mar 22, 2021 to Mar 28, 2022
    • Individual RAUM · $86.5M to $56.8M
      Mar 22, 2021 to Mar 28, 2022
    • Pension RAUM · $5.7M to $9.1M
      Mar 22, 2021 to Mar 28, 2022
    • RAUM · $233M to $286M
      Mar 22, 2021 to Mar 28, 2022
    • Accounts · 441 to 460
      Jun 23, 2020 to Mar 22, 2021
    • Advisory employees · 6 to 7
      Jun 23, 2020 to Mar 22, 2021
    • Corporate clients · unset to 1.0
      Jun 23, 2020 to Mar 22, 2021
    Signals
    12 dated events
    • K••• B•••• S•••••••• left W•••••• F•••••••• A•••••••• L•• for P••••••• W••••• A••••••• (registered 2024-09-12)
      Sep 12, 2024 · Advisor changed firm · fact
    • D•••••• R••••••• left W•••••• F•••••••• A•••••••• L•• for P••••••• W••••• A••••••• (registered 2024-04-08)
      Apr 2, 2024 · Advisor changed firm · fact
    • M••••• B•••• S•••••••• left W•••••• F•••••••• A•••••••• L•• for P••••••• W••••• A••••••• (registered 2024-04-08)
      Apr 2, 2024 · Advisor changed firm · fact
    • A•••• J• P••• left W•••••• F•••••••• A•••••••• L•• for P••••••• W••••• A••••••• (registered 2024-04-09)
      Apr 2, 2024 · Advisor changed firm · fact
    • P••• K•••• M•••••• left W•••••• F•••••••• A•••••••• L•• for P••••••• W••••• A••••••• (registered 2024-04-08)
      Apr 2, 2024 · Advisor changed firm · fact
    • W•••••• F•••••••• A•••••••• L••'s advisors moved to P••••••• W••••• A••••••• (Goleta, CA): 4 of 5 registered, on the same day
      Apr 2, 2024 · Firm absorbed (people side) · derived
    • M•••••• S•• L•••••• left W•••••• F•••••••• A•••••••• L•• for R•• C•••••• M••••••• L•• (registered 2023-12-26)
      Dec 20, 2023 · Advisor changed firm · fact
    • M•••••• M• B•••• left W•••••• F•••••••• A•••••••• L•• for M•••••• W••••• M••••••••• L• (registered 2023-11-01)
      Feb 13, 2023 · Advisor changed firm · fact
    • Albertha Jean Smith (Trustee) no longer on Schedule A of W•••••• F•••••••• A•••••••• L•• (listed 2020-06-23, absent 2021-03-22)
      Mar 22, 2021 · Control person left · inference
    • Bowen James Smith (Trustee) no longer on Schedule A of W•••••• F•••••••• A•••••••• L•• (listed 2020-06-23, absent 2021-03-22)
      Mar 22, 2021 · Control person left · inference
    • Abiola Yusuf Balogun (Member) appeared on Schedule A of W•••••• F•••••••• A•••••••• L••
      Mar 30, 2020 · Control person joined · fact
    • W•••••• F•••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
      Feb 25, 2014 · 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