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
W•••••••••
Legal name W••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Dec 12, 2011 · 66 filings
SEC status approved since Jun 11, 2007
RAUM
$1.1B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$1.0B individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$151M
derived; firm RAUM over IAPD count
Employees
16
9 advisory (5.B.1)
Offices
6
beyond the principal office
Private funds
0
reported on Schedule D
History
66 filings and snapshots on the tape
RAUM$1.1B as of Mar 31, 2026
Mar 30, 2012$150M then
HNW client RAUM$870M as of Mar 31, 2026
Mar 29, 2018$345M then
State-registered IARs (5.B.3)9 as of Mar 31, 2026
Mar 28, 201311 then
Employees (5.A)16 as of Mar 31, 2026
Mar 28, 201311 then
Private funds: no history
RAUM +19% over the last fiscal year+13% a year over threeIARs 9 to 9offices 9 to 6
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $151MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 89derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.7MderivedHNW RAUM over HNW clients
- Average account
- $620,893derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 1.0derived7 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +23%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, otherreportedItem 5.G
- Custody
- $315M, 351 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$870M82%
- Individuals$141M13%
- State and municipal entities$33.5M3.2%
- Pension and profit-sharing plans$12.0M1.1%
- Charitable organizations$460,1630.0%
- Individual clients
- 389reported
- HNW clients
- 233reported
- Pension plan clients
- 2reported
- Charitable clients
- 1reported
- Accounts
- 1,703reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $315M for 351 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.96 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A•••••• G••••• F•••••••Certified Financial Planner | Ramona, Ca | Mar 11, 2008 | 23 y | 1 |
| M••••• H••••• S••••Certified Financial Planner | Ramona, Ca | Aug 23, 2010 | 23 y | 6 |
| S•••• W•••••• O••••••Certified Financial Planner | Ramona, Ca | Jun 11, 2012 | 18 y | 5 |
| B•••••••• L•• M•••••Certified Financial Planner | Ramona, Ca | May 2, 2013 | 14 y | 2 |
| C••••••••• P••• V•• S••••Certified Financial Planner | Ramona, Ca | May 2, 2013 | 29 y | 2 |
| J••• H•••• C••••••Certified Financial Planner | Ramona, Ca | Sep 14, 2018 | 14 y | 4 |
| D•••••• G•• B••••• | Tyler, Tx | Jan 24, 2020 | 25 y | 0 |
Advisor movement
2 left, 1 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 29% of current headcount2 left over 36 months
Left, latest
- J••••• E•••••• Y•••• to P•• F•••••••• G••••Apr 30, 2026 · RIA to RIA
- M••• G•••• A•••••••• to C••••••••• W••••• L••Mar 27, 2026 · Other
- K••••• J•••• to H•••••• S••••••••• I•••Feb 22, 2023 · RIA to affiliated broker-dealer or bank
- K•••••• A• C•••••• to C•••••• F••••••••• I•••Sep 14, 2017 · Other
- Q••• S•••• to R••••• F•••••••• A•••••••• L••Jun 4, 2015 · Other
- S•••• A••• L•••••• to T••••••• L•••Aug 21, 2013 · Other
- E••• S•••• T••• to T••••••• L•••Aug 21, 2013 · Other
- T••••• W••••••• H••••• to H•••• S••••• W••••• A•••••••May 1, 2013 · Other
Joined, latest
- J••••• E•••••• Y•••• from C••••••••• W••••• L••Nov 14, 2025 · RIA to RIA
- J••• H•••• C•••••• from F••••••• P••••••• A•• W•••••••• A•••••••Sep 14, 2018 · Affiliated broker-dealer or bank to independent RIA
- M••• G•••• A•••••••• from S•••••••• A••••••• L••Jan 26, 2016 · Other
- K•••••• A• C•••••• from F•••• F•••••••• E••••• C•••••••••Jul 22, 2015 · Other
- B•••••••• L•• M••••• from T••••••• L•••May 2, 2013 · Other
- C••••••••• P••• V•• S•••• from T••••••• L•••May 2, 2013 · Other
- T••••• W••••••• H••••• from F•••• F••••••••• A•••••••Nov 1, 2012 · Other
- S•••• W•••••• O•••••• from T••••••• L•••Jun 11, 2012 · Other
- K••••• J•••• from J•••• • W•••••••• L••Jan 27, 2012 · Other
- M••••• H••••• S•••• from T••••••• L•••Aug 23, 2010 · Other
- S•••• A••• L•••••• from L•••••• W••••• M••••••••• I•••Mar 11, 2008 · Other
- A•••••• G••••• F••••••• from T••••••• L•••Mar 11, 2008 · Other
- E••• S•••• T••• from L•••••• W••••• M••••••••• I•••Mar 11, 2008 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• A••••••• B••••• · Chief Operating Officercontrolsince 01/2019 · owns less than 5%
- B•••••• D••••••• G•• · Wealth Managercontrolsince 01/2020 · owns 10% to 25%
- F•••••••• A••••••• G••••• · Wealth Managercontrolsince 01/2003 · owns less than 5%
- M•••••• B••••••••• L•• · Wealth Managercontrolsince 12/2019 · owns less than 5%
- O••••••• S••••• W•••••• · Wealth Managercontrolsince 10/2023 · owns less than 5%
- V•••••••• C••••••••• P••• · Presidentcontrolsince 10/2013 · owns less than 5%
- V•••••••• C••••••••• P••• · Presidentcontrolsince 10/2013 · owns 75% or more of W••••••••• I••
- C••••••• J•••• H•••• · Wealth Managersince 12/2021 · owns 5% to 10%
- S••••• M•••••• H••••• · Wealth Managersince 10/2013 · owns 5% to 10%
- W••••••••• R••••••• D••• · Wealth Managersince 12/2018 · owns 5% to 10%
- Z••••••• E••••• R••• · Chief Compliance Officersince 05/2025 · owns less than 5%
Entity owners
- W••••••••• I•• · Holding Companydirect · owns 25% to 50%
Related persons
Schedule D 7.A
- C••••••••• W••••• L••investment adviseryRAUM $53.5M
Advisers that list W••••••••• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Ramona, Ca | 7 | 0 | 0 | ||
| Austin, Tx | 2 | 0 | 1 | ||
| Willow Park, Tx | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Tyler, TX2 employees
- San Diego, CA2 employees
- Austin, TX2 employees
- La Jolla, CA1 employees
- Newport Beach, CA1 employees
- Weatherford, TX1 employees
- , 1 employees
- Bedford, TX1 employees
- Jackson, WY1 employees
What changed
consecutive filings, newest first
- Accounts · 1,428 to 1,703Jul 11, 2025 to Mar 31, 2026
- Advisory employees · 10 to 9Jul 11, 2025 to Mar 31, 2026
- Charity clients · unset to 1.0Jul 11, 2025 to Mar 31, 2026
- HNW clients · 191 to 233Jul 11, 2025 to Mar 31, 2026
- Individual clients · 316 to 389Jul 11, 2025 to Mar 31, 2026
- Pension plan clients · 1 to 2Jul 11, 2025 to Mar 31, 2026
- Assets in custody · $431M to $315MJul 11, 2025 to Mar 31, 2026
- Insurance-licensed employees · 5 to 0Jul 11, 2025 to Mar 31, 2026
- Other offices · 9 to 6Jul 11, 2025 to Mar 31, 2026
- Discretionary RAUM · $886M to $1.1BJul 11, 2025 to Mar 31, 2026
- HNW RAUM · $720M to $870MJul 11, 2025 to Mar 31, 2026
- Individual RAUM · $126M to $141MJul 11, 2025 to Mar 31, 2026
- Pension RAUM · $10.4M to $12.0MJul 11, 2025 to Mar 31, 2026
- RAUM · $886M to $1.1BJul 11, 2025 to Mar 31, 2026
- Related adviser · true to falseJul 11, 2025 to Mar 31, 2026
- Financial planning clients · 1-10 to 1-10May 6, 2025 to Jul 11, 2025
- Accounts · 1,367 to 1,428Sep 5, 2024 to Mar 26, 2025
- HNW clients · 174 to 191Sep 5, 2024 to Mar 26, 2025
- Individual clients · 331 to 316Sep 5, 2024 to Mar 26, 2025
- Assets in custody · $758M to $431MSep 5, 2024 to Mar 26, 2025
- Financial planning clients · 11-25 to 1-10Sep 5, 2024 to Mar 26, 2025
- HQ city · unset to Sep 5, 2024 to Mar 26, 2025
- HQ state · unset to Sep 5, 2024 to Mar 26, 2025
- State-registered IARs · 10 to 9Sep 5, 2024 to Mar 26, 2025
- Other offices · 10 to 9Sep 5, 2024 to Mar 26, 2025
- Discretionary RAUM · $758M to $886MSep 5, 2024 to Mar 26, 2025
- HNW RAUM · $592M to $720MSep 5, 2024 to Mar 26, 2025
- Individual RAUM · $128M to $126MSep 5, 2024 to Mar 26, 2025
- Pension RAUM · $11.9M to $10.4MSep 5, 2024 to Mar 26, 2025
- RAUM · $758M to $886MSep 5, 2024 to Mar 26, 2025
- Accounts · 1,495 to 1,367Jan 19, 2024 to Mar 26, 2024
- HNW clients · 172 to 174Jan 19, 2024 to Mar 26, 2024
- Individual clients · 394 to 331Jan 19, 2024 to Mar 26, 2024
- Assets in custody · $168M to $758MJan 19, 2024 to Mar 26, 2024
- Financial planning clients · 1-10 to 11-25Jan 19, 2024 to Mar 26, 2024
- Other offices · 9 to 10Jan 19, 2024 to Mar 26, 2024
- Discretionary RAUM · $733M to $758MJan 19, 2024 to Mar 26, 2024
- HNW RAUM · $551M to $592MJan 19, 2024 to Mar 26, 2024
- Individual RAUM · $149M to $128MJan 19, 2024 to Mar 26, 2024
- Pension RAUM · $10.0M to $11.9MJan 19, 2024 to Mar 26, 2024
Signals
8 dated events
- J••••• E•••••• Y•••• left Worthpointe for P•• F•••••••• G•••• (registered 2026-04-23)Apr 30, 2026 · Advisor changed firm · fact
- M••• G•••• A•••••••• left Worthpointe for C••••••••• W••••• L•• (registered 2022-05-06)Mar 27, 2026 · Advisor changed firm · fact
- William Scott O'Brien (Wealth Manager) appeared on Schedule A of WorthpointeMar 26, 2024 · Control person joined · fact
- George Anthony Ferreira (Wealth Manager) appeared on Schedule A of WorthpointeMar 22, 2023 · Control person joined · fact
- Lee Brooksher Morgan (Wealth Manager) appeared on Schedule A of WorthpointeMar 22, 2023 · Control person joined · fact
- K••••• J•••• left Worthpointe for H•••••• S••••••••• I••• (registered 2023-01-20)Feb 22, 2023 · Advisor changed firm · fact
- Worthpointe reported RAUM $623.9M, up 38% from $451.4M (2019-10-25 to 2020-03-06)Mar 6, 2020 · RAUM change · derived
- Guy D•••••• B••••• (Wealth Manager) appeared on Schedule A of WorthpointeMar 6, 2020 · Control person joined · 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 phone
- 800-620-4232reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- H••••://WWW.LINKEDIN.COM/COMPANY/3197696reportedpublic record, Form ADV, Sep 18, 2026
- Website
- W•••••••••INVEST.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 800-620-4232reportedpublic record, Form ADV, Mar 31, 2026
- Contact form
- worthpointeinvest.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- worthpointeinvest.com/our-team-fee-only-financial-plannersreportedpublished 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
- $151Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026