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

E•••••••• W••••• A••••••• G••••• L••

Former SEC-registered adviserSan Jose, CaliforniaCRD 140253SEC 801-120888IAPD
Latest filing Mar 1, 2022
First filing on the tape Mar 28, 2012 · 6 filings
RAUM
$125M
reported, Item 5.F
Discretionary
79%
of RAUM
Private clients
100%
$125M 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
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$125M as of Mar 1, 2022
Mar 28, 2012$36.9M then
HNW client RAUM: $103M
State-registered IARs (5.B.3)2 as of Mar 1, 2022
Mar 28, 20120 then
Employees (5.A): 5
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 1, 2022; every figure names its basis
RAUM per advisor
$62.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
63derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.9MderivedHNW RAUM over HNW clients
Average account
$285,201derivedRAUM over accounts (5.F.2.f)
Discretionary
79%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 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 an insurance broker or agent (6.A.6)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$103M82%
  • Individuals$22.2M18%
Individual clients
90reported
HNW clients
36reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
438reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourly, commissionsreported
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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • C••••• V•••••• G• · Managing Member/Chief Compliance Officercontrol
      since 03/2006 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 344 to 438
      Apr 23, 2021 to Mar 1, 2022
    • Advisory employees · 2 to 3
      Apr 23, 2021 to Mar 1, 2022
    • BD registered reps · 2 to 3
      Apr 23, 2021 to Mar 1, 2022
    • HNW clients · 34 to 36
      Apr 23, 2021 to Mar 1, 2022
    • Individual clients · 74 to 90
      Apr 23, 2021 to Mar 1, 2022
    • Discretionary RAUM · $80.3M to $98.5M
      Apr 23, 2021 to Mar 1, 2022
    • HNW RAUM · $83.2M to $103M
      Apr 23, 2021 to Mar 1, 2022
    • Individual RAUM · $20.5M to $22.2M
      Apr 23, 2021 to Mar 1, 2022
    • Non-discretionary RAUM · $23.4M to $26.4M
      Apr 23, 2021 to Mar 1, 2022
    • RAUM · $104M to $125M
      Apr 23, 2021 to Mar 1, 2022
    • Accounts · 269 to 344
      Jun 23, 2012 to Mar 23, 2021
    • Advisory employees · unset to 2.0
      Jun 23, 2012 to Mar 23, 2021
    • Advisory activities · 3 to 2
      Jun 23, 2012 to Mar 23, 2021
    • BD registered reps · unset to 2.0
      Jun 23, 2012 to Mar 23, 2021
    • Charity clients · unset to 0.0
      Jun 23, 2012 to Mar 23, 2021
    • Corporate clients · unset to 0.0
      Jun 23, 2012 to Mar 23, 2021
    • HNW clients · unset to 34.0
      Jun 23, 2012 to Mar 23, 2021
    • Individual clients · unset to 74.0
      Jun 23, 2012 to Mar 23, 2021
    • Pension plan clients · unset to 0.0
      Jun 23, 2012 to Mar 23, 2021
    • Pooled vehicle clients · unset to 0.0
      Jun 23, 2012 to Mar 23, 2021
    • Employees · unset to 5.0
      Jun 23, 2012 to Mar 23, 2021
    • Financial planning clients · 26-50 to 11-25
      Jun 23, 2012 to Mar 23, 2021
    • State-registered IARs · 0 to 2
      Jun 23, 2012 to Mar 23, 2021
    • Other offices · unset to 0.0
      Jun 23, 2012 to Mar 23, 2021
    • Discretionary RAUM · $28.0M to $80.3M
      Jun 23, 2012 to Mar 23, 2021
    • HNW RAUM · unset to 83193590.0
      Jun 23, 2012 to Mar 23, 2021
    • Individual RAUM · unset to 20514896.0
      Jun 23, 2012 to Mar 23, 2021
    • Non-discretionary RAUM · $8.9M to $23.4M
      Jun 23, 2012 to Mar 23, 2021
    • Pension RAUM · unset to 0.0
      Jun 23, 2012 to Mar 23, 2021
    • Pooled vehicle RAUM · unset to 0.0
      Jun 23, 2012 to Mar 23, 2021
    • RAUM · $36.9M to $104M
      Jun 23, 2012 to Mar 23, 2021
    Signals
    4 dated events
    • G••• R••• R•••••• B•••••• left E•••••••• W••••• A••••••• G••••• L•• for C••••• M•••••• (registered 2022-05-16)
      Jun 22, 2022 · Advisor changed firm · fact
    • J••••••• C•••• left E•••••••• W••••• A••••••• G••••• L•• for C••••• M•••••• (registered 2022-05-16)
      Jun 22, 2022 · Advisor changed firm · fact
    • 2 advisors left E•••••••• W••••• A••••••• G••••• L•• (San Jose, CA) for C••••• M•••••• on the same day
      Jun 22, 2022 · Team lift-out · derived
    • E•••••••• W••••• A••••••• G••••• L•• filed its initial SEC registration (Form ADV)
      Mar 23, 2021 · 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