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
N•••••• W••••• A•••••••• I•••
Latest filing Apr 6, 2026
First filing on the tape May 14, 2024 · 5 filings
SEC status approved since Jun 13, 2024
RAUM
$263M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$263M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$43.8M
derived; firm RAUM over IAPD count
Employees
8
6 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$263M as of Apr 6, 2026
Mar 28, 2025$193M then
HNW client RAUM$72.2M as of Apr 6, 2026
Mar 28, 2025$53.1M then
State-registered IARs (5.B.3)5 as of Apr 6, 2026
Mar 28, 20255 then
Employees (5.A)8 as of Apr 6, 2026
Mar 28, 20256 then
Private funds: no history
RAUM +36% over the last fiscal yearIARs 5 to 5
Practice profile
derived from the filing of Apr 6, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- i••••••••• 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
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $43.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 199derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.2MderivedHNW RAUM over HNW clients
- Average account
- $220,092derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 2.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +36%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.1%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, educational seminarsreportedItem 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
- is a broker-dealer (6.A.1)
- is an insurance broker or agent (6.A.6)
- 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
- Individuals$190M72%
- High-net-worth individuals$72.2M28%
- Individual clients
- 1,133reported
- HNW clients
- 60reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,193reported
- Financial planning clients
- 26-50reported
- 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=5.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| L••••••• M•••••• D••••• | N•••••• Beach, Ca | Jan 9, 2018 | 24 y | 5 |
| S•••• J••••• K••• M•••••• | N•••••• Beach, Ca | Jan 9, 2018 | 24 y | 7 |
| M•••••• S•••• S•••• | N•••••• Beach, Ca | Jan 9, 2018 | 16 y | 2 |
| D•••• H••••• H•••• | N•••••• Beach, Ca | Aug 30, 2019 | 19 y | 4 |
| M••• T•••••• G••••• | N•••••• Beach, Ca | Dec 5, 2022 | 41 y | 2 |
| B•••••• M•••••• W••••Certified Financial Planner | La Mesa, Ca | Jan 1, 2025 | 14 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 headcount1 left over 36 months
Left, latest
- S•••• G•••• E•••••• to C•••••••• F••••••••• I•••Mar 29, 2024 · RIA to affiliated broker-dealer or bank
- S••••• C••••• F•••••• S••••• to B••••••••• W••••• A•••••••• L••Mar 27, 2019 · RIA to RIA
- B•••• R••••• B••••••• to W•• T••• A••••••• S•••••••Oct 7, 2009 · Other
- S•••• K•• B••••••• to T• A••••••••• I•••Dec 31, 2008 · RIA to a newly registered adviser
Joined, latest
- M••• T•••••• G••••• from C•••• C•••••• S••••••••• L•••Dec 5, 2022 · Affiliated broker-dealer or bank to independent RIA
- D•••• H••••• H•••• from I••••••••• A••••••• S••••••• I••Aug 30, 2019 · Affiliated broker-dealer or bank to independent RIA
- S••••• C••••• F•••••• S••••• from I••••••••• F•••••••• G••••• L••Jan 23, 2019 · Affiliated broker-dealer or bank to independent RIA
- M•••••• S•••• S•••• from M••••• S••••••Apr 29, 2015 · Wirehouse to independent RIA
- S•••• G•••• E•••••• from I••••••••• A••••••• I••••••••• I•••Oct 20, 2010 · Other
- S•••• J••••• K••• M•••••• from C••••••• W••••• • C••Oct 10, 2007 · Other
- L••••••• M•••••• D••••• from A••••••••• F•••••••• S•••••••• L••Oct 8, 2007 · Affiliated broker-dealer or bank to independent RIA
- S•••• K•• B••••••• from A••••••••• F•••••••• S•••••••• L••Oct 8, 2007 · Affiliated broker-dealer or bank to independent RIA
- B•••• R••••• B••••••• from A••••••••• F•••••••• S•••••••• L••Oct 8, 2007 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••• L•••••••• M•••••• · Cco / Ceocontrolsince 08/2010 · owns 50% to 75%
- M••••••• S••••• J••••• K••• · Cfocontrolsince 08/2010 · 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 |
|---|---|---|---|---|---|
| N•••••• Beach, Ca · principal | 6 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- San Diego, CA3 employees
- San Marcos, CA3 employees
ADV anomalies
5 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Apr 6, 2026custody of client assets (Item 9.A): yes on the filing of 2025-09-25, no on the filing of 2026-04-06peers: WEALTH_I•••••••••, $100M to $500M (5,676)
- RAUM up 25 %Change between filings · filing Apr 6, 2026RAUM (Item 5.F) moved from $193,260,000 to $262,570,000 (+36.0%) between the annual amendments of 2025-03-28 and 2026-04-06; the peer median change was +15.0% (4550 comparable advisers, 91.0th percentile of changes)peers: WEALTH_I•••••••••, $100M to $500M (4,550) · 91% percentile
- business activity changedChange between filings · filing Apr 6, 2026selection of other advisers (Item 5.G.7): yes on the filing of 2025-09-25, no on the filing of 2026-04-06peers: WEALTH_I•••••••••, $100M to $500M (5,676)
- compensation changedChange between filings · filing Apr 6, 2026commissions (Item 5.E.5): yes on the filing of 2025-09-25, no on the filing of 2026-04-06peers: WEALTH_I•••••••••, $100M to $500M (5,676)
- compensation changedChange between filings · filing Apr 6, 2026hourly charges (Item 5.E.2): yes on the filing of 2025-09-25, no on the filing of 2026-04-06peers: WEALTH_I•••••••••, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 1,124 to 1,193Sep 25, 2025 to Apr 6, 2026
- Advisory activities · 5 to 3Sep 25, 2025 to Apr 6, 2026
- HNW clients · 45 to 60Sep 25, 2025 to Apr 6, 2026
- Individual clients · 1,079 to 1,133Sep 25, 2025 to Apr 6, 2026
- Commission compensation · true to falseSep 25, 2025 to Apr 6, 2026
- Assets in custody · 143055997.0 to unsetSep 25, 2025 to Apr 6, 2026
- Custody of client assets · true to falseSep 25, 2025 to Apr 6, 2026
- Employees · 6 to 8Sep 25, 2025 to Apr 6, 2026
- Discretionary RAUM · $193M to $263MSep 25, 2025 to Apr 6, 2026
- HNW RAUM · $53.1M to $72.2MSep 25, 2025 to Apr 6, 2026
- Individual RAUM · $140M to $190MSep 25, 2025 to Apr 6, 2026
- RAUM · $193M to $263MSep 25, 2025 to Apr 6, 2026
- Accounts · 943 to 1,124May 17, 2024 to Mar 28, 2025
- Advisory employees · 7 to 6May 17, 2024 to Mar 28, 2025
- BD registered reps · 7 to 5May 17, 2024 to Mar 28, 2025
- HNW clients · 50 to 45May 17, 2024 to Mar 28, 2025
- Individual clients · 1,088 to 1,079May 17, 2024 to Mar 28, 2025
- Assets in custody · $86.7M to $143MMay 17, 2024 to Mar 28, 2025
- Employees · 7 to 6May 17, 2024 to Mar 28, 2025
- Financial planning clients · 26-50 to 26-50May 17, 2024 to Mar 28, 2025
- State-registered IARs · 7 to 5May 17, 2024 to Mar 28, 2025
- Discretionary RAUM · $140M to $193MMay 17, 2024 to Mar 28, 2025
- HNW RAUM · $113M to $53.1MMay 17, 2024 to Mar 28, 2025
- Individual RAUM · $27.5M to $140MMay 17, 2024 to Mar 28, 2025
- RAUM · $140M to $193MMay 17, 2024 to Mar 28, 2025
Signals
2 dated events
- N•••••• W••••• A•••••••• I••• filed its initial SEC registration (Form ADV)May 14, 2024 · First SEC registration · fact
- S•••• G•••• E•••••• left N•••••• W••••• A•••••••• I••• for C•••••••• F••••••••• I••• (registered 2022-12-21)Mar 29, 2024 · Advisor changed firm · 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 email
- vhernandez@newportwealthadvisors.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- cmcclure@newportwealthadvisors.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- newportwealthadvisors@newportwealthadvisors.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 760-210-7006reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 760-621-7006reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 877-692-7227reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (877) 692-7227reportedpublic record, Form ADV, Apr 6, 2026
- Contact form
- newportwealthadvisors.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- t••• profile url
- newportwealthadvisors.com/meet-the-teamreportedpublished by the firm, firm site, Sep 15, 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
- $43.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026