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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
T•• W••••• C••••••••• I•••
Latest filing Mar 23, 2026
First filing on the tape Dec 13, 2011 · 29 filings
SEC status approved since Oct 24, 2007
RAUM
$792M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$789M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$264M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$792M as of Mar 23, 2026
Feb 23, 2012$264M then
HNW client RAUM$755M as of Mar 23, 2026
Mar 29, 2018$437M then
State-registered IARs (5.B.3)0 as of Mar 23, 2026
Mar 12, 20133 then
Employees (5.A)3 as of Mar 23, 2026
Mar 12, 20134 then
Private funds: no history
RAUM +13% over the last fiscal year+6.5% a year over threeIARs 2 to 0
Practice profile
derived from the filing of Mar 23, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $264MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 85derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.9MderivedHNW RAUM over HNW clients
- Average account
- $1.4MderivedRAUM 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
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- -100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.1%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 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
- 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
- High-net-worth individuals$755M95%
- Individuals$34.5M4.4%
- Corporations and businesses$2.2M0.3%
- Individual clients
- 103reported
- HNW clients
- 153reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 549reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••••• B•••• W•••••• | Corona Del Mar, Ca | Feb 8, 2007 | 25 y | 2 |
| K••••••• M•••• W••••••••• | Corona Del Mar, Ca | Apr 23, 2008 | 19 y | 1 |
| J•••••• S•••• R••••••• | Corona Del Mar, Ca | Dec 5, 2008 | 18 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
- S••• J• to S•• W••••• M••••••••• I•••May 10, 2011 · Other
- M••• E•••••••• M••••• to T•• A••••••• F•••••••• G••••• I•••Dec 5, 2008 · Other
Joined, latest
- K••••••• M•••• W••••••••• from L•• F•••••••• I•••Apr 23, 2008 · Other
- S••• J• from L•• F•••••••• I•••Feb 14, 2007 · Other
- J•••••• B•••• W•••••• from L•• F•••••••• I•••Feb 8, 2007 · Other
- M••• E•••••••• M••••• from L•• F•••••••• I•••Feb 8, 2007 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W••••••• J••••••• B•••• · President And Chief Compliance Officercontrolsince 12/2006 · 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 |
|---|---|---|---|---|---|
| Corona Del Mar, Ca · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 520 to 549Mar 18, 2025 to Mar 23, 2026
- Charity clients · unset to 0.0Mar 18, 2025 to Mar 23, 2026
- HNW clients · 147 to 153Mar 18, 2025 to Mar 23, 2026
- Individual clients · 99 to 103Mar 18, 2025 to Mar 23, 2026
- Pension plan clients · unset to 0.0Mar 18, 2025 to Mar 23, 2026
- Pooled vehicle clients · unset to 0.0Mar 18, 2025 to Mar 23, 2026
- State-registered IARs · 2 to 0Mar 18, 2025 to Mar 23, 2026
- Discretionary RAUM · $702M to $792MMar 18, 2025 to Mar 23, 2026
- HNW RAUM · $671M to $755MMar 18, 2025 to Mar 23, 2026
- Individual RAUM · $28.6M to $34.5MMar 18, 2025 to Mar 23, 2026
- Pension RAUM · unset to 0.0Mar 18, 2025 to Mar 23, 2026
- Pooled vehicle RAUM · unset to 0.0Mar 18, 2025 to Mar 23, 2026
- RAUM · $702M to $792MMar 18, 2025 to Mar 23, 2026
- Accounts · 499 to 520Jun 25, 2024 to Mar 18, 2025
- HNW clients · 148 to 147Jun 25, 2024 to Mar 18, 2025
- Individual clients · 93 to 99Jun 25, 2024 to Mar 18, 2025
- Financial planning clients · 51-100 to 51-100Jun 25, 2024 to Mar 18, 2025
- HQ city · WESTLAKE VILLAGE to CORONA DEL MARJun 25, 2024 to Mar 18, 2025
- Discretionary RAUM · $670M to $702MJun 25, 2024 to Mar 18, 2025
- HNW RAUM · $640M to $671MJun 25, 2024 to Mar 18, 2025
- Individual RAUM · $27.8M to $28.6MJun 25, 2024 to Mar 18, 2025
- RAUM · $670M to $702MJun 25, 2024 to Mar 18, 2025
- HNW clients · 142 to 148Oct 27, 2023 to Mar 25, 2024
- Individual clients · 101 to 93Oct 27, 2023 to Mar 25, 2024
- Discretionary RAUM · $593M to $670MOct 27, 2023 to Mar 25, 2024
- HNW RAUM · $561M to $640MOct 27, 2023 to Mar 25, 2024
- Individual RAUM · $30.3M to $27.8MOct 27, 2023 to Mar 25, 2024
- RAUM · $593M to $670MOct 27, 2023 to Mar 25, 2024
- Accounts · 608 to 499Mar 24, 2023 to Oct 27, 2023
- HNW clients · 139 to 142Mar 24, 2023 to Oct 27, 2023
- Individual clients · 88 to 101Mar 24, 2023 to Oct 27, 2023
- Employees · 2 to 3Mar 24, 2023 to Oct 27, 2023
- Discretionary RAUM · $645M to $593MMar 24, 2023 to Oct 27, 2023
- HNW RAUM · $556M to $561MMar 24, 2023 to Oct 27, 2023
- Individual RAUM · $29.8M to $30.3MMar 24, 2023 to Oct 27, 2023
- Non-discretionary RAUM · $11.0M to $0Mar 24, 2023 to Oct 27, 2023
- Pension RAUM · 68426762.0 to unsetMar 24, 2023 to Oct 27, 2023
- RAUM · $656M to $593MMar 24, 2023 to Oct 27, 2023
- Accounts · 479 to 608Feb 8, 2022 to Mar 24, 2023
- Advisory employees · 3 to 2Feb 8, 2022 to Mar 24, 2023
Signals
1 dated events
- T•• W••••• C••••••••• I••• reported RAUM $510.7M, up 26% from $406.8M (2017-06-07 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
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@thewealthcollaborative.comreportedpublished by the firm, firm site, Sep 15, 2026
- Website
- H•••://WWW.T•••••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 818-577-1180reportedpublic record, Form ADV, Mar 23, 2026
- Team page
- thewealthcollaborative.com/teamreportedpublished by the firm, firm site, Sep 15, 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
- $264Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026