DFX Intelligence
RIA Intelligence
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SEC-registered adviser
C••••••• W••••• A••••••• G••••• I•••
Latest filing Aug 4, 2026
First filing on the tape Dec 21, 2011 · 19 filings
SEC status approved since Mar 30, 2016
RAUM
$238M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$238M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$79.2M
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
19 filings and snapshots on the tape
RAUM$238M as of Aug 4, 2026
Mar 28, 2012$78.4M then
HNW client RAUM$193M as of Aug 4, 2026
Mar 19, 2018$103M then
State-registered IARs (5.B.3)3 as of Aug 4, 2026
Mar 28, 20120 then
Employees (5.A)3 as of Aug 4, 2026
Mar 9, 20172 then
Private funds: no history
RAUM +16% over the last fiscal year+5.5% a year over threeIARs 4 to 3
Practice profile
derived from the filing of Aug 4, 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
- $79.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 83derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $334,588derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 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
- -0.4%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- 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)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$193M81%
- Individuals$44.7M19%
- Individual clients
- 168reported
- HNW clients
- 80reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 710reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••••• P•••••• S•••••Certified Financial Planner | C•••••••, Ca | Mar 26, 2008 | 20 y | 1 |
| H•••••• M••••• W•••••••• S•••••Certified Financial Planner | C•••••••, Ca | Dec 2, 2019 | 10 y | 0 |
| M•••••• T• B•••••Certified Financial Planner | C•••••••, Ca | Jun 12, 2026 | 11 y | 0 |
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
none on the tape
Joined, latest
- A••••• P•••••• S••••• from A••••••••• F•••••••• S•••••••• L••Mar 26, 2008 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••••• D••••• L••••• · Chief Executive Officercontrolsince 03/2008 · owns less than 5%
- S•••••• A•••••• P•••••• · Chief Investment Officer/Chief Compliance Officercontrolsince 02/2008 · owns 50% to 75%
- S•••••• H••••••• M••••• W•••••••• · Chief Financial Officercontrolsince 03/2023 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| C•••••••, Ca · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 4 to 3Mar 18, 2026 to Aug 4, 2026
- Employees · 4 to 3Mar 18, 2026 to Aug 4, 2026
- State-registered IARs · 4 to 3Mar 18, 2026 to Aug 4, 2026
- Accounts · 730 to 710Feb 8, 2025 to Mar 18, 2026
- HNW clients · 72 to 80Feb 8, 2025 to Mar 18, 2026
- Individual clients · 177 to 168Feb 8, 2025 to Mar 18, 2026
- Discretionary RAUM · $204M to $238MFeb 8, 2025 to Mar 18, 2026
- HNW RAUM · $160M to $193MFeb 8, 2025 to Mar 18, 2026
- Individual RAUM · $44.3M to $44.7MFeb 8, 2025 to Mar 18, 2026
- RAUM · $204M to $238MFeb 8, 2025 to Mar 18, 2026
- Accounts · 737 to 730Mar 28, 2024 to Feb 8, 2025
- HNW clients · 68 to 72Mar 28, 2024 to Feb 8, 2025
- Individual clients · 181 to 177Mar 28, 2024 to Feb 8, 2025
- Financial planning clients · 51-100 to 51-100Mar 28, 2024 to Feb 8, 2025
- Discretionary RAUM · $180M to $204MMar 28, 2024 to Feb 8, 2025
- HNW RAUM · $138M to $160MMar 28, 2024 to Feb 8, 2025
- Individual RAUM · $42.6M to $44.3MMar 28, 2024 to Feb 8, 2025
- RAUM · $180M to $204MMar 28, 2024 to Feb 8, 2025
- Accounts · 742 to 737Mar 29, 2023 to Mar 28, 2024
- Advisory employees · 3 to 4Mar 29, 2023 to Mar 28, 2024
- HNW clients · 61 to 68Mar 29, 2023 to Mar 28, 2024
- Individual clients · 200 to 181Mar 29, 2023 to Mar 28, 2024
- Employees · 3 to 4Mar 29, 2023 to Mar 28, 2024
- Financial planning clients · 26-50 to 51-100Mar 29, 2023 to Mar 28, 2024
- State-registered IARs · 3 to 4Mar 29, 2023 to Mar 28, 2024
- Discretionary RAUM · $202M to $180MMar 29, 2023 to Mar 28, 2024
- HNW RAUM · $160M to $138MMar 29, 2023 to Mar 28, 2024
- Individual RAUM · $42.0M to $42.6MMar 29, 2023 to Mar 28, 2024
- RAUM · $202M to $180MMar 29, 2023 to Mar 28, 2024
- Accounts · 722 to 742Jan 9, 2022 to Mar 29, 2023
- HNW clients · 71 to 61Jan 9, 2022 to Mar 29, 2023
- Individual clients · 189 to 200Jan 9, 2022 to Mar 29, 2023
- Assets in custody · 27000000.0 to unsetJan 9, 2022 to Mar 29, 2023
- Custody of client assets · true to falseJan 9, 2022 to Mar 29, 2023
- Financial planning clients · 11-25 to 26-50Jan 9, 2022 to Mar 29, 2023
- Discretionary RAUM · $244M to $202MJan 9, 2022 to Mar 29, 2023
- HNW RAUM · $204M to $160MJan 9, 2022 to Mar 29, 2023
- Individual RAUM · $40.2M to $42.0MJan 9, 2022 to Mar 29, 2023
- RAUM · $244M to $202MJan 9, 2022 to Mar 29, 2023
- Accounts · 633 to 722Feb 12, 2021 to Jan 9, 2022
Signals
2 dated events
- M••••• W•••••••• H•••••• S••••• (Chief Financial Officer) appeared on Schedule A of C••••••• W••••• A••••••• G••••• I•••Mar 28, 2024 · Control person joined · fact
- C••••••• W••••• A••••••• G••••• I••• filed its initial SEC registration (Form ADV)Mar 22, 2016 · First SEC registration · 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
- Website
- C•••••••WEALTH.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 760-607-0812reportedpublic record, Form ADV, Aug 4, 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
- $79.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026