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
D••••••• I••••••••• I•••
Latest filing Mar 16, 2026
First filing on the tape Mar 5, 2025 · 3 filings
SEC status approved since Feb 27, 2025
RAUM
$155M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$155M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$77.5M
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
3 filings and snapshots on the tape
RAUM$155M as of Mar 16, 2026
Mar 5, 2025$132M then
HNW client RAUM$116M as of Mar 16, 2026
Mar 5, 2025$61.8M then
State-registered IARs (5.B.3)2 as of Mar 16, 2026
Mar 5, 20252 then
Employees (5.A)3 as of Mar 16, 2026
Mar 5, 20253 then
Private funds: no history
RAUM +18% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Mar 16, 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
- $77.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 68derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $478,105derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, otherreportedItem 5.G
- Custody
- $2.9M, 3 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$116M75%
- Individuals$38.9M25%
- Individual clients
- 86reported
- HNW clients
- 49reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 324reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $2.9M for 3 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• P•••• W•••••••• | San Diego, Ca | Apr 30, 2012 | 28 y | 2 |
| M•••••• A••• M••••• | San Diego, Ca | Jul 31, 2015 | 29 y | 2 |
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
- J• T•••••• D••• to S••• C•••••• A•••••••• L••Dec 8, 2011 · Other
Joined, latest
- M•••••• A••• M••••• from C•••••••• G••••• M•••••• I•••Jul 31, 2015 · Other
- J••• P•••• W•••••••• from M••••• S••••••Apr 30, 2012 · Wirehouse to independent RIA
- J• T•••••• D••• from U•• F•••••••• S••••••• I•••Aug 8, 2008 · Wirehouse to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• M••••••• A••• · Presidentcontrolsince 08/2007 · owns 75% or more
- R•••••••• D••••• J•••• · Chief Compliance Officercontrolsince 02/2026 · owns less than 5%
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 |
|---|---|---|---|---|---|
| San Diego, Ca · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Mar 16, 2026custody of client assets (Item 9.A): no on the filing of 2026-02-06, yes on the filing of 2026-03-16peers: independent wealth managers, $100M to $500M (5,676)
- HNW share shiftChange between filings · filing Mar 16, 2026HNW share of RAUM moved from 47.0% to 75.0% between the annual amendments of 2025-03-05 and 2026-03-16peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 363 to 324Feb 6, 2026 to Mar 16, 2026
- HNW clients · 30 to 49Feb 6, 2026 to Mar 16, 2026
- Individual clients · 105 to 86Feb 6, 2026 to Mar 16, 2026
- Assets in custody · unset to 2946805.0Feb 6, 2026 to Mar 16, 2026
- Custody of client assets · false to trueFeb 6, 2026 to Mar 16, 2026
- Discretionary RAUM · $132M to $155MFeb 6, 2026 to Mar 16, 2026
- HNW RAUM · $61.8M to $116MFeb 6, 2026 to Mar 16, 2026
- Individual RAUM · $70.0M to $38.9MFeb 6, 2026 to Mar 16, 2026
- RAUM · $132M to $155MFeb 6, 2026 to Mar 16, 2026
Signals
No event on the tape.
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
- 858-812-3026reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 858-812-3319reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/decision-investments-increportedpublic record, Form ADV, Sep 18, 2026
- Website
- D•••••••INVESTMENTS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 858-812-3026reportedpublic record, Form ADV, Mar 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
- $77.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026