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
P•••••• W••••• S••••••••• G••••• I•••
Latest filing Jul 14, 2026
First filing on the tape Mar 26, 2012 · 33 filings
SEC status approved since Sep 14, 2007
RAUM
$253M
reported, Item 5.F
Discretionary
88%
of RAUM
Private clients
90%
$227M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$84.4M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$253M as of Jul 14, 2026
Mar 26, 2012$100M then
HNW client RAUM$195M as of Jul 14, 2026
Mar 14, 2018$69.7M then
State-registered IARs (5.B.3)3 as of Jul 14, 2026
Mar 26, 20120 then
Employees (5.A)3 as of Jul 14, 2026
Mar 28, 20136 then
Private funds: no history
RAUM +16% over the last fiscal year+24% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Jul 14, 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
- 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
- $84.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 61derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $481,349derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 88%derivedof RAUM
- Institutional
- 10%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
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.5%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, otherreportedItem 5.G
- Custody
- $78.9M, 77 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)
- compensates persons for client referrals (8.G.1)
- 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$195M77%
- Individuals$32.6M13%
- Pension and profit-sharing plans$25.9M10%
- Corporations and businesses$134,2150.1%
- Charitable organizations$27,0370.0%
- Individual clients
- 93reported
- HNW clients
- 89reported
- Pension plan clients
- 12reported
- Charitable clients
- 1reported
- Accounts
- 526reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $78.9M for 77 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.9 fund_share=0.0 institutional_share=0.1 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 |
|---|---|---|---|---|
| E••• J••• N••• | Santa Barbara, Ca | Sep 14, 2007 | 28 y | 2 |
| G••••• S••••• G•••• | Santa Barbara, Ca | Jan 21, 2009 | 27 y | 6 |
| J•••••• D••• B•••••••••Certified Financial Planner | Santa Barbara, Ca | Jan 1, 2026 | 28 y | 3 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- M••• C••••••••• S•••••••• to F•••• A••••• A••••••• S•••••••• I•••May 19, 2022 · Other
- S••••• A••••• L•••• to F•••• A••••• A••••••• S•••••••• I•••Aug 17, 2018 · RIA to affiliated broker-dealer or bank
Joined, latest
- J•••••• D••• B••••••••• from C••••• I••••••••• A••••••• L••Jan 1, 2026 · Affiliated broker-dealer or bank to independent RIA
- S••••• A••••• L•••• from F•••• A••••• A••••••• S•••••••• I•••Jan 13, 2017 · Other
- M••• C••••••••• S•••••••• from F•••• A••••• S••••••••• I•••Jun 28, 2010 · Other
- G••••• S••••• G•••• from G•••••••• I••••••••• M••••••••• I•••Jan 21, 2009 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••••• J••••••• D••• · Vice President, Corporate Secretary, Treasurercontrolsince 08/2007 · owns 50% to 75%
- N•••• E•••• J••• · President & Chief Compliance Officercontrolsince 08/2007 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Santa Barbara, Ca · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Jul 14, 2026custody of client assets (Item 9.A): no on the filing of 2026-03-12, yes on the filing of 2026-07-14peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Assets in custody · unset to 78885292.0Mar 12, 2026 to Jul 14, 2026
- Custody of client assets · false to trueMar 12, 2026 to Jul 14, 2026
- Accounts · 565 to 526Mar 19, 2025 to Mar 12, 2026
- Corporate clients · 1 to 2Mar 19, 2025 to Mar 12, 2026
- HNW clients · 87 to 89Mar 19, 2025 to Mar 12, 2026
- Individual clients · 96 to 93Mar 19, 2025 to Mar 12, 2026
- Pension plan clients · 21 to 12Mar 19, 2025 to Mar 12, 2026
- Financial planning clients · 251-500 to 101-250Mar 19, 2025 to Mar 12, 2026
- Discretionary RAUM · $186M to $224MMar 19, 2025 to Mar 12, 2026
- HNW RAUM · $157M to $195MMar 19, 2025 to Mar 12, 2026
- Individual RAUM · $26.1M to $32.6MMar 19, 2025 to Mar 12, 2026
- Non-discretionary RAUM · $31.8M to $29.3MMar 19, 2025 to Mar 12, 2026
- Pension RAUM · $34.3M to $25.9MMar 19, 2025 to Mar 12, 2026
- RAUM · $218M to $253MMar 19, 2025 to Mar 12, 2026
- Accounts · 539 to 565Feb 12, 2024 to Mar 19, 2025
- HNW clients · 59 to 87Feb 12, 2024 to Mar 19, 2025
- Individual clients · 113 to 96Feb 12, 2024 to Mar 19, 2025
- Pension plan clients · 20 to 21Feb 12, 2024 to Mar 19, 2025
- Financial planning clients · 101-250 to 251-500Feb 12, 2024 to Mar 19, 2025
- Discretionary RAUM · $154M to $186MFeb 12, 2024 to Mar 19, 2025
- HNW RAUM · $103M to $157MFeb 12, 2024 to Mar 19, 2025
- Individual RAUM · $47.2M to $26.1MFeb 12, 2024 to Mar 19, 2025
- Non-discretionary RAUM · $23.5M to $31.8MFeb 12, 2024 to Mar 19, 2025
- Pension RAUM · $27.2M to $34.3MFeb 12, 2024 to Mar 19, 2025
- RAUM · $177M to $218MFeb 12, 2024 to Mar 19, 2025
- Accounts · 516 to 539Dec 19, 2023 to Feb 12, 2024
- Corporate clients · 2 to 1Dec 19, 2023 to Feb 12, 2024
- HNW clients · 51 to 59Dec 19, 2023 to Feb 12, 2024
- Individual clients · 106 to 113Dec 19, 2023 to Feb 12, 2024
- Pension plan clients · 22 to 20Dec 19, 2023 to Feb 12, 2024
- Discretionary RAUM · $116M to $154MDec 19, 2023 to Feb 12, 2024
- HNW RAUM · $66.9M to $103MDec 19, 2023 to Feb 12, 2024
- Individual RAUM · $36.5M to $47.2MDec 19, 2023 to Feb 12, 2024
- Non-discretionary RAUM · $15.6M to $23.5MDec 19, 2023 to Feb 12, 2024
- Pension RAUM · $27.7M to $27.2MDec 19, 2023 to Feb 12, 2024
- RAUM · $131M to $177MDec 19, 2023 to Feb 12, 2024
- Accounts · 455 to 516Jun 8, 2022 to Feb 21, 2023
- Corporate clients · 0 to 2Jun 8, 2022 to Feb 21, 2023
- HNW clients · 46 to 51Jun 8, 2022 to Feb 21, 2023
- Individual clients · 83 to 106Jun 8, 2022 to Feb 21, 2023
Signals
2 dated events
- P•••••• W••••• S••••••••• G••••• I••• reported RAUM $137.3M, down 59% from $337.2M (2022-02-18 to 2022-06-06)Jun 6, 2022 · RAUM change · derived
- M••• C••••••••• S•••••••• left P•••••• W••••• S••••••••• G••••• I••• for F•••• A••••• A••••••• S•••••••• I••• (registered 2012-07-02)May 19, 2022 · Advisor changed firm · 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
- Firm profile
- H•••S://WWW.LINKEDIN.COM/COMPANY/P••••••-WEALTH-S•••••••••-Greportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••://P•••.USreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 805-966-7775reportedpublic record, Form ADV, Jul 14, 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
- $84.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026