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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Former SEC-registered adviser
W••••• W••••• P•••••••• L••
Latest filing Mar 29, 2024
First filing on the tape Nov 10, 2011 · 30 filings
RAUM
$1.1B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
92%
$1.1B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
22
12 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
3
$40.7M gross assets
History
30 filings and snapshots on the tape
RAUM$1.1B as of Mar 29, 2024
Mar 30, 2012$538M then
HNW client RAUM$825M as of Mar 29, 2024
Mar 29, 2018$671M then
State-registered IARs (5.B.3)10 as of Mar 29, 2024
Mar 30, 20120 then
Employees (5.A)22 as of Mar 29, 2024
Mar 12, 201312 then
Private funds3 as of Mar 29, 2024
Mar 30, 20122 then
RAUM +11% over the last fiscal year+2.8% a year over threeIARs 11 to 10
Practice profile
derived from the filing of Mar 29, 2024; every figure names its basis
- RAUM per advisor
- $114MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 70derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $1.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.2derivedItem 5.A over advisors
- Advisors per office
- 5.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- -9.1%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.0%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, pension consultingreportedItem 5.G
- Financial planning clients
- 700reportedItem 5.H
- Custody
- $34.7M, 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$825M72%
- Individuals$232M20%
- Pooled investment vehicles$34.7M3.1%
- Charitable organizations$30.2M2.6%
- Corporations and businesses$13.9M1.2%
- Pension and profit-sharing plans$3.3M0.3%
- Individual clients
- 393reported
- HNW clients
- 303reported
- Pension plan clients
- 5reported
- Charitable clients
- 8reported
- Accounts
- 723reported
- Financial planning clients
- 700reported
- Wrap fee programs
- noreported
- Custody of client assets
- $34.7M for 3 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- R••• N••••••• C••••••• to E• W••••• A•••••••Jul 1, 2024 · RIA to RIA
- R••• J•••••• H••• to E• W••••• A•••••••Apr 30, 2024 · RIA to RIA
- M•••••• R•••••• W••••• to E• W••••• A•••••••Apr 30, 2024 · RIA to RIA
- N••••• D••••• M••••• to E• W••••• A•••••••Apr 30, 2024 · RIA to RIA
- B••••• C•••••• S•••••• to E• W••••• A•••••••Apr 30, 2024 · RIA to RIA
- E•••• S•••• G•••••• to E• W••••• A•••••••Apr 30, 2024 · RIA to RIA
- P•••••• C••• O••••• to E• W••••• A•••••••Apr 30, 2024 · RIA to RIA
- J••• C•••• W••••••••• to E• W••••• A•••••••Apr 30, 2024 · RIA to RIA
- M•••• A••••• C••••• to E• W••••• A•••••••Apr 30, 2024 · RIA to RIA
- S••••• C••••••• to E• W••••• A•••••••Apr 30, 2024 · RIA to RIA
- J••••• I•••• R•••• to L•• F•••••••• L••May 10, 2022 · RIA to RIA
- L•••• T••••• S••••• to C••••••••• F•••••••• N••••••Feb 7, 2022 · RIA to affiliated broker-dealer or bank
Joined, latest
- L•••• T••••• S••••• from T••••• F••••• C•••••• M••••••••• L••Feb 25, 2021 · RIA to RIA
- N••••• D••••• M••••• from P••••••• A••••••• L••Mar 18, 2020 · RIA to RIA
- M•••••• R•••••• W••••• from R•• I•••Jan 24, 2008 · Other
- P•••••• C••• O••••• from R•• I•••Jan 24, 2008 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 9 left for E• W••••• A•••••••Apr 30, 2024 · San Luis Obispo, Ca · Firm absorbed
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| R•• A••••••••• L• | Hedge Fund | $29.5M | 93 | Mar 30, 2012 |
| R•• A••••••••• L• | Hedge Fund | $8.7M | 62 | Jun 26, 2015 |
| R•• A••••••••• L• | Hedge Fund | $2.6M | 68 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- K••••• B••••• M•••••• · Co-Managing Member(10/2013) / Priorcco (02/2004-10/2013 & 1/16) / Coo (1/2008) / President (1/2018)controlsince 01/2008 · owns 10% to 25%
- P•••••• S•••• · Chief Compliance Officercontrolsince 01/2020 · owns less than 5%
- P•••• A••••••••• N• M• · Director Of Investment Operationscontrolsince 10/2013 · owns less than 5%
- C•••••••• R•••• N••••••• · Member/Co-Managing Member(1/1/2018)/Chief Executive Officer (1/1/2018)since 10/2013 · owns 10% to 25%
- C•••••• M••••• A••••• · Membersince 01/2020 · owns 5% to 10%
- O•••••• P••••••• C••• · Membersince 10/2013 · owns 10% to 25%
- W••••••••• J•••• C•••• · Membersince 10/2013 · owns 5% to 10%
- W•••••• M••••••• R•••••• · Membersince 10/2013 · owns 10% to 25%
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 Luis Obispo, Ca · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 699 to 723Mar 6, 2023 to Mar 29, 2024
- Corporate clients · 5 to 7Mar 6, 2023 to Mar 29, 2024
- HNW clients · 494 to 303Mar 6, 2023 to Mar 29, 2024
- Individual clients · 175 to 393Mar 6, 2023 to Mar 29, 2024
- Pension plan clients · 11 to 5Mar 6, 2023 to Mar 29, 2024
- Assets in custody · $38.3M to $34.7MMar 6, 2023 to Mar 29, 2024
- State-registered IARs · 11 to 10Mar 6, 2023 to Mar 29, 2024
- Discretionary RAUM · $1.0B to $1.1BMar 6, 2023 to Mar 29, 2024
- HNW RAUM · $870M to $825MMar 6, 2023 to Mar 29, 2024
- Individual RAUM · $65.9M to $232MMar 6, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $7.0M to $2.5MMar 6, 2023 to Mar 29, 2024
- Pension RAUM · $17.4M to $3.3MMar 6, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $38.3M to $34.7MMar 6, 2023 to Mar 29, 2024
- RAUM · $1.0B to $1.1BMar 6, 2023 to Mar 29, 2024
- State-registered IARs · 9 to 11Mar 23, 2022 to Mar 6, 2023
- Discretionary RAUM · $1.2B to $1.0BMar 23, 2022 to Mar 6, 2023
- HNW RAUM · $1.1B to $870MMar 23, 2022 to Mar 6, 2023
- Individual RAUM · $71.8M to $65.9MMar 23, 2022 to Mar 6, 2023
- Non-discretionary RAUM · $8.1M to $7.0MMar 23, 2022 to Mar 6, 2023
- Pension RAUM · $21.9M to $17.4MMar 23, 2022 to Mar 6, 2023
- Pooled vehicle RAUM · $710,088 to $38.3MMar 23, 2022 to Mar 6, 2023
- RAUM · $1.2B to $1.0BMar 23, 2022 to Mar 6, 2023
- Accounts · 672 to 699Mar 23, 2022 to Mar 6, 2023
- Advisory employees · 14 to 12Mar 23, 2022 to Mar 6, 2023
- Charity clients · 9 to 8Mar 23, 2022 to Mar 6, 2023
- HNW clients · 492 to 494Mar 23, 2022 to Mar 6, 2023
- Assets in custody · $36.6M to $38.3MMar 23, 2022 to Mar 6, 2023
- Employees · 20 to 22Mar 23, 2022 to Mar 6, 2023
- Accounts · 630 to 672Aug 30, 2021 to Mar 23, 2022
- Advisory employees · 12 to 14Aug 30, 2021 to Mar 23, 2022
- Charity clients · 8 to 9Aug 30, 2021 to Mar 23, 2022
- HNW clients · 430 to 492Aug 30, 2021 to Mar 23, 2022
- Individual clients · 171 to 175Aug 30, 2021 to Mar 23, 2022
- Pension plan clients · 9 to 11Aug 30, 2021 to Mar 23, 2022
- Assets in custody · $36.6M to $36.6MAug 30, 2021 to Mar 23, 2022
- Financial planning clients · 251-500 to More than 500Aug 30, 2021 to Mar 23, 2022
- Other offices · 0 to 1Aug 30, 2021 to Mar 23, 2022
- Discretionary RAUM · $1.0B to $1.2BAug 30, 2021 to Mar 23, 2022
- HNW RAUM · $913M to $1.1BAug 30, 2021 to Mar 23, 2022
- Individual RAUM · $77.7M to $71.8MAug 30, 2021 to Mar 23, 2022
Signals
15 dated events
- R••• N••••••• C••••••• left W••••• W••••• P•••••••• L•• for E• W••••• A••••••• (registered 2025-12-15)Jul 1, 2024 · Advisor changed firm · fact
- N••••• D••••• M••••• left W••••• W••••• P•••••••• L•• for E• W••••• A••••••• (registered 2025-11-12)Apr 30, 2024 · Advisor changed firm · fact
- B••••• C•••••• S•••••• left W••••• W••••• P•••••••• L•• for E• W••••• A••••••• (registered 2024-05-01)Apr 30, 2024 · Advisor changed firm · fact
- P•••••• C••• O••••• left W••••• W••••• P•••••••• L•• for E• W••••• A••••••• (registered 2025-01-01)Apr 30, 2024 · Advisor changed firm · fact
- E•••• S•••• G•••••• left W••••• W••••• P•••••••• L•• for E• W••••• A••••••• (registered 2024-04-18)Apr 30, 2024 · Advisor changed firm · fact
- M•••••• R•••••• W••••• left W••••• W••••• P•••••••• L•• for E• W••••• A••••••• (registered 2025-01-15)Apr 30, 2024 · Advisor changed firm · fact
- J••• C•••• W••••••••• left W••••• W••••• P•••••••• L•• for E• W••••• A••••••• (registered 2025-01-23)Apr 30, 2024 · Advisor changed firm · fact
- S••••• C••••••• left W••••• W••••• P•••••••• L•• for E• W••••• A••••••• (registered 2024-05-01)Apr 30, 2024 · Advisor changed firm · fact
- R••• J•••••• H••• left W••••• W••••• P•••••••• L•• for E• W••••• A••••••• (registered 2025-12-15)Apr 30, 2024 · Advisor changed firm · fact
- M•••• A••••• C••••• left W••••• W••••• P•••••••• L•• for E• W••••• A••••••• (registered 2024-04-17)Apr 30, 2024 · Advisor changed firm · fact
- W••••• W••••• P•••••••• L••'s advisors moved to E• W••••• A••••••• (San Luis Obispo, CA): 9 of 10 registered, on the same dayApr 30, 2024 · Firm absorbed (people side) · derived
- Eugene Robert W••••• (Member) no longer on Schedule A of W••••• W••••• P•••••••• L•• (listed 2023-03-06, absent 2024-03-29)Mar 29, 2024 · Control person left · inference
- J••••• I•••• R•••• left W••••• W••••• P•••••••• L•• for L•• F•••••••• L•• (registered 2023-01-17)May 10, 2022 · Advisor changed firm · fact
- L•••• T••••• S••••• left W••••• W••••• P•••••••• L•• for C••••••••• F•••••••• N•••••• (registered 2021-06-28)Feb 7, 2022 · Advisor changed firm · fact
- S•••• P••••• (Chief Compliance Officer) appeared on Schedule A of W••••• W••••• P•••••••• L••Mar 23, 2020 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
- R.E. W••••• Associates · Venture Capitalshared crd · org
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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026