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
R•••• W••••• G•••• I•••
Latest filing Mar 14, 2024
First filing on the tape Apr 10, 2012 · 25 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$191M as of Mar 10, 2023
Apr 10, 2012$118M then
HNW client RAUM$98.5M as of Mar 10, 2023
Mar 7, 2018$112M then
State-registered IARs (5.B.3)3 as of Mar 13, 2024
Apr 10, 20120 then
Employees (5.A)5 as of Mar 13, 2024
Mar 12, 20134 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Mar 14, 2024; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 1.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, otherreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- n/areported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
- D•••• A•••• P••••• to N•••••• A•••••••Mar 28, 2024 · Other
- W•••••• M•••••• B••••• to N•••••• A•••••••Mar 28, 2024 · Other
- G••• P•••• K•••• to N•••••• A•••••••Mar 28, 2024 · Other
Joined, latest
- D•••• A•••• P••••• from O•••• W•••••• I•••Apr 11, 2006 · Other
- W•••••• M•••••• B••••• from R•••• A••••••• S•••••••• I•••Jan 24, 2006 · Other
- G••• P•••• K•••• from A••••• C••••••••• G••••Jan 24, 2006 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for N•••••• A•••••••Mar 28, 2024 · Seal Be•••, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••••• J••••••••• A• · J••••••••• A. B•••••••••, Trustee, B••••• Family Trust D•••• 8/24/1995controlsince 09/2020 · owns 50% to 75%
- B•••••• W••••••• M•••••• · Managing Principal / Chief Compliance Officer/Iarcontrolsince 11/2005 · owns less than 5%
Entity owners
- W•••••• M• B••••• A•• J••••••••• A• B••••••••• E••• A• T••••••• O• T•• B••••• F••••• T•••• D•••• 8•••••••• · Ownerdirect · 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 |
|---|---|---|---|---|---|
| Redlands, Ca | 0 | 0 | 0 | ||
| Saint Johns, Fl | 0 | 0 | 0 | ||
| Seal Be•••, Ca · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Redlands, CA1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 586.0 to unsetMar 31, 2023 to Mar 13, 2024
- HNW clients · 44.0 to unsetMar 31, 2023 to Mar 13, 2024
- Individual clients · 229.0 to unsetMar 31, 2023 to Mar 13, 2024
- Assets in custody · 665810.0 to unsetMar 31, 2023 to Mar 13, 2024
- Custody of client assets · true to falseMar 31, 2023 to Mar 13, 2024
- Financial planning clients · 101-250 to 0Mar 31, 2023 to Mar 13, 2024
- Discretionary RAUM · 190861580.0 to unsetMar 31, 2023 to Mar 13, 2024
- HNW RAUM · 98491553.0 to unsetMar 31, 2023 to Mar 13, 2024
- Individual RAUM · 86216049.0 to unsetMar 31, 2023 to Mar 13, 2024
- Non-discretionary RAUM · 0.0 to unsetMar 31, 2023 to Mar 13, 2024
- Pension RAUM · 4945515.0 to unsetMar 31, 2023 to Mar 13, 2024
- RAUM · 190861580.0 to unsetMar 31, 2023 to Mar 13, 2024
- Accounts · 596 to 586Oct 11, 2022 to Mar 10, 2023
- Advisory employees · 4 to 3Oct 11, 2022 to Mar 10, 2023
- HNW clients · 52 to 44Oct 11, 2022 to Mar 10, 2023
- Individual clients · 232 to 229Oct 11, 2022 to Mar 10, 2023
- Assets in custody · $900,758 to $665,810Oct 11, 2022 to Mar 10, 2023
- State-registered IARs · 4 to 3Oct 11, 2022 to Mar 10, 2023
- Discretionary RAUM · $234M to $191MOct 11, 2022 to Mar 10, 2023
- HNW RAUM · $140M to $98.5MOct 11, 2022 to Mar 10, 2023
- Individual RAUM · $85.4M to $86.2MOct 11, 2022 to Mar 10, 2023
- Pension RAUM · $7.1M to $4.9MOct 11, 2022 to Mar 10, 2023
- RAUM · $234M to $191MOct 11, 2022 to Mar 10, 2023
- Accounts · 571 to 596Mar 15, 2021 to Mar 29, 2022
- Advisory employees · 3 to 4Mar 15, 2021 to Mar 29, 2022
- HNW clients · 53 to 52Mar 15, 2021 to Mar 29, 2022
- Individual clients · 220 to 232Mar 15, 2021 to Mar 29, 2022
- Assets in custody · $88.2M to $900,758Mar 15, 2021 to Mar 29, 2022
- Employees · 4 to 5Mar 15, 2021 to Mar 29, 2022
- State-registered IARs · 3 to 4Mar 15, 2021 to Mar 29, 2022
- Other offices · 1 to 2Mar 15, 2021 to Mar 29, 2022
- Discretionary RAUM · $213M to $234MMar 15, 2021 to Mar 29, 2022
- HNW RAUM · $131M to $140MMar 15, 2021 to Mar 29, 2022
- Individual RAUM · $72.4M to $85.4MMar 15, 2021 to Mar 29, 2022
- Pension RAUM · $5.3M to $7.1MMar 15, 2021 to Mar 29, 2022
- RAUM · $213M to $234MMar 15, 2021 to Mar 29, 2022
- Accounts · 605 to 571Dec 24, 2020 to Mar 15, 2021
- Advisory employees · 2 to 3Dec 24, 2020 to Mar 15, 2021
- HNW clients · 48 to 53Dec 24, 2020 to Mar 15, 2021
- Individual clients · 222 to 220Dec 24, 2020 to Mar 15, 2021
Signals
6 dated events
- W•••••• M•••••• B••••• left R•••• W••••• G•••• I••• for N•••••• A••••••• (registered 2026-01-01)Mar 28, 2024 · Advisor changed firm · fact
- 2 advisors left R•••• W••••• G•••• I••• (Seal Beach, CA) for N•••••• A••••••• on the same dayMar 28, 2024 · Team lift-out · derived
- D•••• A•••• P••••• left R•••• W••••• G•••• I••• for N•••••• A••••••• (registered 2024-02-05)Mar 28, 2024 · Advisor changed firm · fact
- G••• P•••• K•••• left R•••• W••••• G•••• I••• for N•••••• A••••••• (registered 2024-02-01)Mar 28, 2024 · Advisor changed firm · fact
- A. J••••••••• B••••••••• (J••••••••• A. B•••••••••, Trustee, Beeler Family Trust Dated 8/24/1995) appeared on Schedule A of R•••• W••••• G•••• I•••Dec 24, 2020 · Control person joined · fact
- Peter Gary Klein (President / Iar) no longer on Schedule A of R•••• W••••• G•••• I••• (listed 2020-06-30, absent 2020-09-21)Sep 21, 2020 · Control person left · inference
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