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W••••• L••••• G••••• I•••

STATE REGISTEREDFormer SEC adviser· San Diego, Californiawebsite

STATE REGISTERED, based in San Diego, California, reporting $97.2M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
$97.2M
Form ADV
Private clients
90%
of RAUM, $87.2M
Form ADV
See where advisers wentSee teams that moved
More
AdvisorsWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. No dated change on record yet.

Every filed figure, and the identifiersCRD 145705 · 1 filingsShow
CRD 145705First filing on the tape Jul 27, 2026, latest Jul 27, 2026IAPD
RAUM
$97.2M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
90%
$87.2M individuals and HNW
Advisors
n/a
registered through the firm on IAPD
RAUM per advisor
Not computed
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
0 filings and snapshots on the tape

Filed figures over time

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds: no history
Practice profile
derived from the filing of Jul 27, 2026; every figure names its basis
The rule behind each archetype, and every derived figureShow
RAUM per advisor
$97.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
88derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.4MderivedHNW RAUM over HNW clients
Average account
$339,887derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 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, performance-basedreportedItem 5.E
Advisory activities
financial planningreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing

82% high-net-worth individuals, 10% charitable organizations, and 1 other client type

The breakdown by client type, and the client counts3 client typesShow
  • High-net-worth individuals$79.6M82%
  • Charitable organizations$10.0M10%
  • Individuals$7.6M7.8%
Individual clients
31reported
HNW clients
57reported
Pension plan clients
n/areported
Charitable clients
6reported
Accounts
286reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourly, performancereported
Class basis
on the IAPD state feed, not SEC-registeredderived
Advisor movement
Left, latest
none on the tape
    Every departureEvery arrival
    Advisors registered through the firm
    2 on IAPD today; the longest tenured first
    NameBranchHere sinceIn industryPrior firms
    R•••• J•••• K••••Chartered Financial ConsultantSan Diego, CaMar 8, 201943 y2
    W•••••• J•••• L•••••San Diego, CaMay 21, 202611 y0
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    No Schedule A on the extract for this adviser.
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    San Diego, Ca · principal210
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    One filing, no change to show.
    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
    Website
    ••• Lockedreportedpublic record, Form ADV, Jul 27, 2026
    Principal office phone
    ••• Lockedreportedpublic record, Form ADV, Jul 27, 2026
    Provenance
    Sources, class rule and load dateForm ADV and IAPD, loaded Sep 15, 2026Show
    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
    STATE REGISTEREDderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    Not computedderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 15, 2026