DFX Intelligence
RIA Intelligence
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SEC-registered adviser
W••••••• Q•••• C••••••• I•••
Latest filing Jan 21, 2026
First filing on the tape Mar 25, 2023 · 4 filings
SEC status approved since Apr 26, 2023
RAUM
$188M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$188M
derived; firm RAUM over IAPD count
Employees
6
1 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
1
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$188M as of Jan 21, 2026
Jan 12, 2024$171M then
HNW client RAUM$0 as of Jan 21, 2026
Jan 12, 2024$0 then
State-registered IARs (5.B.3)1 as of Jan 21, 2026
Jan 12, 20241 then
Employees (5.A)6 as of Jan 21, 2026
Jan 12, 20247 then
Private funds1 as of Jan 21, 2026
Jan 12, 20241 then
RAUM +4.3% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Jan 21, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $188MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $188MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 6.0derivedItem 5.A over advisors
- Advisors per office
- 0.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +4.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $188M, 1 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
- 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$188M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $188M for 1 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C••••••••• M•••••• G••••• | San Diego, Ca | May 2, 2023 | 22 y | 1 |
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
none on the tape
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| W••••••• Q•••• I••••• F•••• L•• | Other Private Fund | $171M | 550 | Jun 28, 2022 |
Owners and control persons
Schedule A and B, latest filing
- G•••••• C••••••••• M•••••• · Ceo And Chief Compliance Officercontrolsince 10/2012 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Los Angeles, CA1 employees
- San Francisco, CA1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- account count collapseChange between filings · filing Jan 21, 2026accounts (Item 5.F.2.f) moved from 585.0 to 1.0 (-100.0%) between the annual amendments of 2025-01-15 and 2026-01-21; the peer median change was +4.0% (21 comparable advisers, 5.0th percentile of changes)peers: asset managers, $100M to $500M (21) · 5.0% percentile
What changed
consecutive filings, newest first
- Accounts · 585 to 1Jan 15, 2025 to Jan 21, 2026
- Assets in custody · $181M to $188MJan 15, 2025 to Jan 21, 2026
- Employees · 8 to 6Jan 15, 2025 to Jan 21, 2026
- Discretionary RAUM · $181M to $188MJan 15, 2025 to Jan 21, 2026
- Pooled vehicle RAUM · $181M to $188MJan 15, 2025 to Jan 21, 2026
- RAUM · $181M to $188MJan 15, 2025 to Jan 21, 2026
- Accounts · 550 to 585Jan 12, 2024 to Jan 15, 2025
- Assets in custody · $171M to $181MJan 12, 2024 to Jan 15, 2025
- Employees · 7 to 8Jan 12, 2024 to Jan 15, 2025
- Financial planning clients · unset to Jan 12, 2024 to Jan 15, 2025
- Discretionary RAUM · $171M to $181MJan 12, 2024 to Jan 15, 2025
- Pooled vehicle RAUM · $171M to $181MJan 12, 2024 to Jan 15, 2025
- RAUM · $171M to $181MJan 12, 2024 to Jan 15, 2025
- Accounts · 526 to 550Mar 25, 2023 to Jan 12, 2024
- Assets in custody · $163M to $171MMar 25, 2023 to Jan 12, 2024
- Employees · 6 to 7Mar 25, 2023 to Jan 12, 2024
- Private funds · 2 to 1Mar 25, 2023 to Jan 12, 2024
- Discretionary RAUM · $163M to $171MMar 25, 2023 to Jan 12, 2024
- Pooled vehicle RAUM · $163M to $171MMar 25, 2023 to Jan 12, 2024
- RAUM · $163M to $171MMar 25, 2023 to Jan 12, 2024
Signals
1 dated events
- W••••••• Q•••• C••••••• I••• filed its initial SEC registration (Form ADV)Mar 25, 2023 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- W••••••• Q•••• C••••••• I••• · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/W•••••••Q••••reportedpublic record, Form ADV, Sep 21, 2026
- Website
- W•••••••Q••••.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 619-872-6000reportedpublic record, Form ADV, Jan 21, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $188Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026