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
C•••••••• C•••••• G••••• L••
Latest filing Mar 19, 2026
First filing on the tape Apr 2, 2012 · 12 filings
SEC status approved since Jun 30, 2022
RAUM
$212M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$212M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$53.1M
derived; firm RAUM over IAPD count
Employees
4
3 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$212M as of Mar 19, 2026
Apr 2, 2012$37.1M then
HNW client RAUM$84.9M as of Mar 19, 2026
Mar 24, 2023$79.3M then
State-registered IARs (5.B.3)3 as of Mar 19, 2026
Mar 24, 20234 then
Employees (5.A)4 as of Mar 19, 2026
Mar 24, 20235 then
Private funds: no history
RAUM +15% over the last fiscal year+22% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 19, 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
- RAUM per advisor
- $53.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 42derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.3MderivedHNW RAUM over HNW clients
- Average account
- $454,391derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 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
- -14%derived
- Compensation
- percentage of assets, hourly, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, publications, educational seminars, 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)
- 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$127M60%
- High-net-worth individuals$84.9M40%
- Individual clients
- 100reported
- HNW clients
- 67reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 467reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourly, performancereported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••• G•••• K••• | La Jolla, Ca | Jul 10, 2006 | 20 y | 0 |
| P•••••• B•••• F•••••• | La Jolla, Ca | Aug 26, 2020 | 9 y | 0 |
| B••• C•••••• S•••• | La Jolla, Ca | Apr 13, 2021 | 10 y | 0 |
| L••••• R••••• I•••• | La Jolla, Ca | Feb 24, 2022 | 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 headcount0 left over 36 months
Left, latest
- B•••• M•••••• L••••• to L••••• W••••• A•••••••• I•••Apr 12, 2019 · Other
- J•••• R••••• C•••• to A••••••• F•••••••• A••••••• I••Oct 21, 2014 · Other
Joined, latest
- J•••• R••••• C•••• from W•••••• I••••••••• S•••••••••Feb 7, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K•••• S••••• G•••• · Managing Member/Chief Compliance Officercontrolsince 01/2006 · owns 75% or more
- F••••••• P••••••• B•••• · Partial Ownersince 04/2022 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| La Jolla, Ca · principal | 4 | 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 Mar 19, 2026HNW share of RAUM moved from 76.0% to 40.0% between the annual amendments of 2025-04-24 and 2026-03-19peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 397 to 467Apr 24, 2025 to Mar 19, 2026
- HNW clients · 50 to 67Apr 24, 2025 to Mar 19, 2026
- Individual clients · 144 to 100Apr 24, 2025 to Mar 19, 2026
- Financial planning clients · 1-10 to 11-25Apr 24, 2025 to Mar 19, 2026
- Discretionary RAUM · $184M to $212MApr 24, 2025 to Mar 19, 2026
- HNW RAUM · $140M to $84.9MApr 24, 2025 to Mar 19, 2026
- Individual RAUM · $44.0M to $127MApr 24, 2025 to Mar 19, 2026
- RAUM · $184M to $212MApr 24, 2025 to Mar 19, 2026
- Related adviser · true to falseApr 24, 2025 to Mar 19, 2026
- Accounts · 340 to 397Mar 18, 2024 to Apr 24, 2025
- Advisory employees · 4 to 3Mar 18, 2024 to Apr 24, 2025
- HNW clients · 35 to 50Mar 18, 2024 to Apr 24, 2025
- Individual clients · 120 to 144Mar 18, 2024 to Apr 24, 2025
- Employees · 5 to 4Mar 18, 2024 to Apr 24, 2025
- Financial planning clients · 1-10 to 1-10Mar 18, 2024 to Apr 24, 2025
- State-registered IARs · 4 to 3Mar 18, 2024 to Apr 24, 2025
- Discretionary RAUM · $164M to $184MMar 18, 2024 to Apr 24, 2025
- HNW RAUM · $89.1M to $140MMar 18, 2024 to Apr 24, 2025
- Individual RAUM · $75.2M to $44.0MMar 18, 2024 to Apr 24, 2025
- RAUM · $164M to $184MMar 18, 2024 to Apr 24, 2025
- Accounts · 195 to 340Mar 24, 2023 to Mar 18, 2024
- HNW clients · 55 to 35Mar 24, 2023 to Mar 18, 2024
- Individual clients · 140 to 120Mar 24, 2023 to Mar 18, 2024
- Discretionary RAUM · $116M to $164MMar 24, 2023 to Mar 18, 2024
- HNW RAUM · $79.3M to $89.1MMar 24, 2023 to Mar 18, 2024
- Individual RAUM · $37.2M to $75.2MMar 24, 2023 to Mar 18, 2024
- RAUM · $116M to $164MMar 24, 2023 to Mar 18, 2024
- Accounts · 319 to 195Jun 3, 2022 to Mar 24, 2023
- HNW clients · 52 to 55Jun 3, 2022 to Mar 24, 2023
- Individual clients · 105 to 140Jun 3, 2022 to Mar 24, 2023
- Discretionary RAUM · $112M to $116MJun 3, 2022 to Mar 24, 2023
- HNW RAUM · $56.9M to $79.3MJun 3, 2022 to Mar 24, 2023
- Individual RAUM · $54.7M to $37.2MJun 3, 2022 to Mar 24, 2023
- RAUM · $112M to $116MJun 3, 2022 to Mar 24, 2023
- Accounts · 199 to 319Sep 21, 2012 to Jun 3, 2022
- Advisory employees · unset to 4.0Sep 21, 2012 to Jun 3, 2022
- Advisory activities · 6 to 5Sep 21, 2012 to Jun 3, 2022
- HNW clients · unset to 52.0Sep 21, 2012 to Jun 3, 2022
- Individual clients · unset to 105.0Sep 21, 2012 to Jun 3, 2022
- Employees · unset to 5.0Sep 21, 2012 to Jun 3, 2022
Signals
1 dated events
- C•••••••• C•••••• G••••• L•• filed its initial SEC registration (Form ADV)Jun 3, 2022 · 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
- Business email
- info@coastwisegroup.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 858-454-6670reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 858-454-6695reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- C••••••••GROUP.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 858-454-6670reportedpublic record, Form ADV, Mar 19, 2026
- Team page
- coastwisegroup.com/our-teamreportedpublished by the firm, firm site, Sep 16, 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
- $53.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026