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
A•• W••••• M•••••••••
Legal name S•••••• V•••• W••••• S••••••••• L••
Latest filing Feb 24, 2026
First filing on the tape Sep 23, 2020 · 12 filings
SEC status approved since Oct 23, 2020
RAUM
$384M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$384M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$128M
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$384M as of Feb 24, 2026
Mar 29, 2021$133M then
HNW client RAUM$39.6M as of Feb 24, 2026
Mar 29, 2021$98.3M then
State-registered IARs (5.B.3)3 as of Feb 24, 2026
Mar 29, 20213 then
Employees (5.A)6 as of Feb 24, 2026
Mar 29, 20218 then
Private funds: no history
RAUM +31% over the last fiscal year+26% a year over threeIARs 2 to 3
Practice profile
derived from the filing of Feb 24, 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
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $128MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 157derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $166,382derivedHNW RAUM over HNW clients
- Average account
- $312,101derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +31%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.8%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, publications, 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
- 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$344M90%
- High-net-worth individuals$39.6M10%
- Individual clients
- 233reported
- HNW clients
- 238reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1,229reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=4.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••••• V•••• | Summit, Nj | Dec 20, 2011 | 35 y | 4 |
| S••••• M••••• | Summit, Nj | Dec 20, 2011 | 36 y | 4 |
| P••••• C•••••• S•••••• | San Diego, Ca | Mar 18, 2025 | 10 y | 4 |
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
- P••••• C•••••• S•••••• from A•••••• A••••••• S•••••••Mar 18, 2025 · Affiliated broker-dealer or bank to independent RIA
- S•••••• V•••• from L•• F•••••••• L••Dec 20, 2011 · Other
- S••••• M••••• from L•• F•••••••• L••Dec 20, 2011 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from L•• F•••••••• L••Nov 17, 2015 · San Diego, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- V••••• S•••••• · Presidentcontrolsince 06/1996 · owns 75% or more
- V••••• N••••• S•••••• · Chief Compliance Officersince 01/2022 · owns less than 5%
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 | 3 | 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
- HNW share shiftChange between filings · filing Feb 24, 2026HNW share of RAUM moved from 81.0% to 10.0% between the annual amendments of 2025-03-14 and 2026-02-24peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 1,047 to 1,229Mar 14, 2025 to Feb 24, 2026
- Advisory employees · 2 to 4Mar 14, 2025 to Feb 24, 2026
- BD registered reps · 2 to 4Mar 14, 2025 to Feb 24, 2026
- HNW clients · 121 to 238Mar 14, 2025 to Feb 24, 2026
- Individual clients · 312 to 233Mar 14, 2025 to Feb 24, 2026
- Employees · 3 to 6Mar 14, 2025 to Feb 24, 2026
- Insurance-licensed employees · 2 to 3Mar 14, 2025 to Feb 24, 2026
- Financial planning clients · 1-10 to 11-25Mar 14, 2025 to Feb 24, 2026
- State-registered IARs · 2 to 3Mar 14, 2025 to Feb 24, 2026
- Discretionary RAUM · $292M to $384MMar 14, 2025 to Feb 24, 2026
- HNW RAUM · $237M to $39.6MMar 14, 2025 to Feb 24, 2026
- Individual RAUM · $55.5M to $344MMar 14, 2025 to Feb 24, 2026
- RAUM · $292M to $384MMar 14, 2025 to Feb 24, 2026
- Accounts · 991 to 1,047Mar 27, 2024 to Mar 14, 2025
- Advisory employees · 5 to 2Mar 27, 2024 to Mar 14, 2025
- BD registered reps · 5 to 2Mar 27, 2024 to Mar 14, 2025
- Charity clients · 4 to 0Mar 27, 2024 to Mar 14, 2025
- Corporate clients · 2 to 0Mar 27, 2024 to Mar 14, 2025
- HNW clients · 302 to 121Mar 27, 2024 to Mar 14, 2025
- Individual clients · 64 to 312Mar 27, 2024 to Mar 14, 2025
- Employees · 5 to 3Mar 27, 2024 to Mar 14, 2025
- Insurance-licensed employees · 1 to 2Mar 27, 2024 to Mar 14, 2025
- Financial planning clients · 1-10 to 1-10Mar 27, 2024 to Mar 14, 2025
- State-registered IARs · 5 to 2Mar 27, 2024 to Mar 14, 2025
- Discretionary RAUM · $236M to $292MMar 27, 2024 to Mar 14, 2025
- HNW RAUM · $146M to $237MMar 27, 2024 to Mar 14, 2025
- Individual RAUM · $88.5M to $55.5MMar 27, 2024 to Mar 14, 2025
- RAUM · $236M to $292MMar 27, 2024 to Mar 14, 2025
- Accounts · 769 to 991Mar 28, 2023 to Mar 27, 2024
- Advisory employees · 3 to 5Mar 28, 2023 to Mar 27, 2024
- BD registered reps · 3 to 5Mar 28, 2023 to Mar 27, 2024
- Charity clients · 3 to 4Mar 28, 2023 to Mar 27, 2024
- HNW clients · 132 to 302Mar 28, 2023 to Mar 27, 2024
- Individual clients · 193 to 64Mar 28, 2023 to Mar 27, 2024
- Employees · 10 to 5Mar 28, 2023 to Mar 27, 2024
- Insurance-licensed employees · 2 to 1Mar 28, 2023 to Mar 27, 2024
- State-registered IARs · 2 to 5Mar 28, 2023 to Mar 27, 2024
- Discretionary RAUM · $193M to $236MMar 28, 2023 to Mar 27, 2024
- HNW RAUM · $160M to $146MMar 28, 2023 to Mar 27, 2024
- Individual RAUM · $32.9M to $88.5MMar 28, 2023 to Mar 27, 2024
Signals
1 dated events
- A•• W••••• M••••••••• filed its initial SEC registration (Form ADV)Sep 23, 2020 · 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
- Principal office phone
- 858-643-5757reportedpublic record, Form ADV, Feb 24, 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
- $128Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026