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.
Former SEC-registered adviser
Napa Wealth Management
Legal name Napa Wealth Management, Incorporated
Latest filing Mar 26, 2025
First filing on the tape Oct 15, 2015 · 16 filings
SEC status approved since Oct 30, 2015
RAUM
$267M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$255M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
5 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$267M as of Mar 26, 2025
Mar 1, 2016$93.2M then
HNW client RAUM$217M as of Mar 26, 2025
Mar 28, 2018$88.5M then
State-registered IARs (5.B.3)5 as of Mar 26, 2025
Mar 1, 20165 then
Employees (5.A)6 as of Mar 26, 2025
Mar 1, 20166 then
Private funds: no history
RAUM +15% over the last fiscal year+1.1% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Mar 26, 2025; every figure names its basis
- RAUM per advisor
- $53.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 40derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $467,142derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 1.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -8.8%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, educational seminars, otherreportedItem 5.G
- Custody
- $90.1M, 143 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
- 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
- High-net-worth individuals$217M81%
- Individuals$38.2M14%
- Pension and profit-sharing plans$6.7M2.5%
- Corporations and businesses$4.7M1.8%
- Individual clients
- 108reported
- HNW clients
- 90reported
- Pension plan clients
- 2reported
- Charitable clients
- n/areported
- Accounts
- 571reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $90.1M for 143 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
5 left, 0 joined in 12 months
net -5 in 12 months0 left in 90 days0 joined in 90 days5 left over 36 months
Left, latest
- Robert John Blanusa to The Mather Group, LLCDec 8, 2025 · RIA to RIA
- Timothy Lee Ayles to The Mather Group, LLCDec 8, 2025 · RIA to RIA
- Tonya West to The Mather Group, LLCDec 8, 2025 · RIA to RIA
- Patrick Andrew Mccuen to The Mather Group, LLCDec 8, 2025 · RIA to RIA
- George Paul Mccuen to The Mather Group, LLCDec 8, 2025 · RIA to RIA
Joined, latest
- Tonya West from Waddell & ReedJul 20, 2021 · Affiliated broker-dealer or bank to independent RIA
- Robert John Blanusa from Investor FanSep 25, 2015 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 5 left for The Mather Group, LLCDec 8, 2025 · Napa, Ca · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Lee Timothy Ayles · Chief Investment Officercontrolsince 04/2008 · owns less than 5%
- Paul George Mccuen · President/Chief Compliance Officercontrolsince 08/1997 · owns 50% to 75%
- Dianne Maria Mccuen · Ownercontrolsince 08/1998 · owns 50% to 75%
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Loomis, Ca | 0 | 0 | 1 | ||
| Napa, Ca · principal | 0 | 0 | 3 | ||
| San Diego, Ca | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 222 to 571Mar 4, 2024 to Mar 26, 2025
- Corporate clients · unset to 4.0Mar 4, 2024 to Mar 26, 2025
- HNW clients · 74 to 90Mar 4, 2024 to Mar 26, 2025
- Individual clients · 143 to 108Mar 4, 2024 to Mar 26, 2025
- Pension plan clients · 5 to 2Mar 4, 2024 to Mar 26, 2025
- Assets in custody · unset to 90139442.0Mar 4, 2024 to Mar 26, 2025
- Custody of client assets · false to trueMar 4, 2024 to Mar 26, 2025
- Financial planning clients · 11-25 to 26-50Mar 4, 2024 to Mar 26, 2025
- Discretionary RAUM · $232M to $267MMar 4, 2024 to Mar 26, 2025
- HNW RAUM · $173M to $217MMar 4, 2024 to Mar 26, 2025
- Individual RAUM · $56.0M to $38.2MMar 4, 2024 to Mar 26, 2025
- Pension RAUM · $3.6M to $6.7MMar 4, 2024 to Mar 26, 2025
- RAUM · $232M to $267MMar 4, 2024 to Mar 26, 2025
- Accounts · 220 to 222Sep 6, 2023 to Mar 4, 2024
- Corporate clients · 1.0 to unsetSep 6, 2023 to Mar 4, 2024
- HNW clients · 64 to 74Sep 6, 2023 to Mar 4, 2024
- Individual clients · 150 to 143Sep 6, 2023 to Mar 4, 2024
- Discretionary RAUM · $195M to $232MSep 6, 2023 to Mar 4, 2024
- HNW RAUM · $133M to $173MSep 6, 2023 to Mar 4, 2024
- Individual RAUM · $56.6M to $56.0MSep 6, 2023 to Mar 4, 2024
- Pension RAUM · $1.9M to $3.6MSep 6, 2023 to Mar 4, 2024
- RAUM · $195M to $232MSep 6, 2023 to Mar 4, 2024
- Accounts · 538 to 220Feb 4, 2022 to Feb 17, 2023
- Corporate clients · unset to 1.0Feb 4, 2022 to Feb 17, 2023
- HNW clients · 85 to 64Feb 4, 2022 to Feb 17, 2023
- Individual clients · 121 to 150Feb 4, 2022 to Feb 17, 2023
- Pension plan clients · 3 to 5Feb 4, 2022 to Feb 17, 2023
- Discretionary RAUM · $258M to $195MFeb 4, 2022 to Feb 17, 2023
- HNW RAUM · $207M to $133MFeb 4, 2022 to Feb 17, 2023
- Individual RAUM · $47.5M to $56.6MFeb 4, 2022 to Feb 17, 2023
- Pension RAUM · $3.0M to $1.9MFeb 4, 2022 to Feb 17, 2023
- RAUM · $258M to $195MFeb 4, 2022 to Feb 17, 2023
- Accounts · 503 to 538Jun 30, 2021 to Feb 4, 2022
- Advisory employees · 4 to 5Jun 30, 2021 to Feb 4, 2022
- HNW clients · 72 to 85Jun 30, 2021 to Feb 4, 2022
- Individual clients · 126 to 121Jun 30, 2021 to Feb 4, 2022
- Pension plan clients · 5 to 3Jun 30, 2021 to Feb 4, 2022
- State-registered IARs · 4 to 5Jun 30, 2021 to Feb 4, 2022
- Discretionary RAUM · $222M to $258MJun 30, 2021 to Feb 4, 2022
- HNW RAUM · $173M to $207MJun 30, 2021 to Feb 4, 2022
Signals
8 dated events
- Napa Wealth Management no longer on the SEC adviser roster (last listed 2025-12-20, RAUM $266.7M)Jan 2, 2026 · Left the SEC roster · derived
- Patrick Andrew Mccuen left Napa Wealth Management for The Mather Group, Llc (registered 2025-11-20)Dec 8, 2025 · Advisor changed firm · fact
- Timothy Lee Ayles left Napa Wealth Management for The Mather Group, Llc (registered 2025-11-20)Dec 8, 2025 · Advisor changed firm · fact
- George Paul Mccuen left Napa Wealth Management for The Mather Group, Llc (registered 2025-11-20)Dec 8, 2025 · Advisor changed firm · fact
- Robert John Blanusa left Napa Wealth Management for The Mather Group, Llc (registered 2025-12-22)Dec 8, 2025 · Advisor changed firm · fact
- Tonya West left Napa Wealth Management for The Mather Group, Llc (registered 2025-11-20)Dec 8, 2025 · Advisor changed firm · fact
- Napa Wealth Management's advisors moved to The Mather Group, LLC (Napa, CA): 5 of 5 registered, on the same dayDec 8, 2025 · Firm absorbed (people side) · derived
- Napa Wealth Management filed its initial SEC registration (Form ADV)Oct 15, 2015 · 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