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.
SEC-registered adviser
Wespac Advisors, LLC
Latest filing Apr 1, 2026
First filing on the tape Mar 22, 2012 · 68 filings
SEC status approved since Sep 24, 2008
RAUM
$1.2B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
12%
$145M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$151M
derived; firm RAUM over IAPD count
Employees
10
8 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
68 filings and snapshots on the tape
RAUM$1.2B as of Apr 1, 2026
Mar 22, 2012$657M then
HNW client RAUM$99.3M as of Apr 1, 2026
Mar 29, 2018$56.2M then
State-registered IARs (5.B.3)8 as of Apr 1, 2026
Apr 1, 201311 then
Employees (5.A)10 as of Apr 1, 2026
Apr 1, 201316 then
Private funds: no history
RAUM +12% over the last fiscal year+15% a year over threeIARs 8 to 8
Practice profile
derived from the filing of Apr 1, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- PE backed · a Schedule A entity owner at 25 percent or more whose exact legal name is a PE fund vehicle or a classified PE sponsor on the DFX private equity graph
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $151MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 36derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $1.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 88%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 2.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%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, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, otherreportedItem 5.G
- Custody
- $11.7M, 48 clientsreportedItem 9.A
- Ownership
- a PE fund or sponsor is a 25 percent or greater owner 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$1.1B88%
- High-net-worth individuals$99.3M8.2%
- Individuals$45.3M3.8%
- Corporations and businesses$1.4M0.1%
- Individual clients
- 238reported
- HNW clients
- 52reported
- Pension plan clients
- 347reported
- Charitable clients
- 0reported
- Accounts
- 642reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $11.7M for 48 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.12 fund_share=0.0 institutional_share=0.88 related_bd=true related_bank=true bd_reps=0.0derived
Advisors registered through the firm
9 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Steve Haydon Miller | Incline Village, Nv | Jan 21, 2010 | 23 y | 2 |
| Robert Daniel Perussina | Orinda, Ca | Nov 1, 2011 | 32 y | 1 |
| Patrick Gaynor | Orinda, Ca | Feb 15, 2018 | 24 y | 1 |
| Gregory Joseph Christian | Reno, Nv | Jul 28, 2023 | 38 y | 1 |
| Thomas Christopher LambertChartered Financial Consultant | Orinda, Ca | Jan 1, 2025 | 39 y | 2 |
| Shevick Avalon Vanderwey | Oakland, Ca | Jan 1, 2025 | 14 y | 0 |
| John Cole Williams | Orinda, Ca | Jan 1, 2025 | 29 y | 2 |
| Timothy K Chan | Orinda, Ca | Jan 26, 2026 | 20 y | 1 |
| William Kim | Orinda, Ca | Feb 11, 2026 | 25 y | 2 |
Advisor movement
0 left, 2 joined in 12 months
net +2 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- Jason Andrew Woon to Iron Financial LLCMay 24, 2019 · Other
- Kenneth Scott Roberts to Concert Wealth ManagementJun 1, 2017 · Other
- Steven Paul Bendinelli to Nbc PardnersFeb 8, 2017 · Other
- Andrew Benedict Corradetti to Secure Investment Management, LLCDec 14, 2016 · Other
- William Payne Adams Orr to Independent Financial Group, LLCFeb 18, 2016 · Other
- Coco M Lorenzo to Stonemark Wealth ManagementJan 11, 2012 · Other
- Wade Steven Perry to Stonemark Wealth ManagementJan 11, 2012 · Other
- Joseph Peter Traba to Stonemark Wealth ManagementJan 11, 2012 · Other
- Morgan Thomas Gough to Girard Securities, Inc.Jan 11, 2012 · Other
- Peter Pin Chen to Stonemark Wealth ManagementJan 11, 2012 · Other
Joined, latest
- William Kim from Wespac Advisors, LLCFeb 11, 2026 · Other
- Timothy K Chan from Wespac Advisors, LLCJan 26, 2026 · Other
- Thomas Christopher Lambert from Wespac Advisors, LLCJan 1, 2025 · Other
- John Cole Williams from Stonemark Wealth ManagementJan 1, 2025 · Other
- Gregory Joseph Christian from Raymond James Financial Services, Inc.Jul 28, 2023 · Other
- Kenneth Scott Roberts from Fusion Asset Management, LLCAug 27, 2012 · Other
- Steven Paul Bendinelli from Foothill Securities, Inc.Aug 9, 2012 · Other
- Robert Daniel Perussina from Securities America Advisors, Inc.Nov 1, 2011 · Other
- Joseph Peter Traba from Hilltop Securities Inc.Mar 2, 2010 · Other
- Steve Haydon Miller from Financial Telesis, Inc.Jan 21, 2010 · Other
- Coco M Lorenzo from Hilltop Securities Inc.Sep 23, 2009 · Other
- Wade Steven Perry from Hilltop Securities Inc.Sep 23, 2009 · Other
- Morgan Thomas Gough from Hilltop Securities Inc.Sep 23, 2009 · Other
- Peter Pin Chen from Hilltop Securities Inc.Sep 23, 2009 · Other
- Jason Andrew Woon from Waddell & ReedJun 2, 2009 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Tailing Renee Szu · Presidentcontrolsince 08/2008 · owns less than 5%
- Cole John Williams · Chief Compliance Officersince 05/2011 · owns less than 5%
Entity owners
- Focus Operating, LLC · Memberdirect · owns 75% or more
- Cd&R Ferdinand Co-Investor, L.P. · Partnerindirect · owns 25% to 50% of Cd&R Ferdinand Holdings, L.P.
- Cd&R Ferdinand Holdings, L.P. · Partnerindirect · owns 50% to 75% of Ferdinand Ffp Ultimate Holdings, LP
- Clayton, Dubilier & Rice Fund Xii, L.P. · Partnerindirect · owns 50% to 75% of Cd&R Ferdinand Holdings, L.P.
- Ferdinand Ffp Acquisition, LLC · Shareholder, Class A Common Stockindirect · owns 75% or more of Focus Financial Partners Inc.
- Ferdinand Ffp Intermediate Holdings, LLC · Memberindirect · owns 75% or more of Ferdinand Ffp Acquisition, LLC
- Ferdinand Ffp Parent, Inc. · Memberindirect · owns 75% or more of Ferdinand Ffp Intermediate Holdings, LLC
- Ferdinand Ffp Ultimate Holdings, LP · Shareholderindirect · owns 75% or more of Ferdinand Ffp Parent, Inc.
- Ferdinand Ultimate Holdings, LP · Shareholder, Class B Common Stockindirect · owns 75% or more of Focus Financial Partners Inc.
- Focus Financial Partners Inc. · Memberindirect · owns 75% or more of Focus Financial Partners, LLC
- Focus Financial Partners, LLC · Memberindirect · owns 75% or more of Focus Operating, LLC
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Orinda, Ca · principal | 7 | 3 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Reno, NV1 employees
What changed
consecutive filings, newest first
- Accounts · 639 to 642Nov 14, 2025 to Apr 1, 2026
- Discretionary RAUM · $1.1B to $1.2BNov 14, 2025 to Apr 1, 2026
- Pension RAUM · $934M to $1.1BNov 14, 2025 to Apr 1, 2026
- RAUM · $1.1B to $1.2BNov 14, 2025 to Apr 1, 2026
- Advisory activities · 3 to 4Aug 12, 2025 to Nov 14, 2025
- Financial planning clients · 1-10 to 1-10Jun 27, 2025 to Jul 10, 2025
- Accounts · 632 to 639Apr 2, 2024 to Mar 27, 2025
- HNW clients · 28 to 52Apr 2, 2024 to Mar 27, 2025
- Individual clients · 262 to 238Apr 2, 2024 to Mar 27, 2025
- Pension plan clients · 340 to 347Apr 2, 2024 to Mar 27, 2025
- Assets in custody · $7.7M to $11.7MApr 2, 2024 to Mar 27, 2025
- Other offices · 1 to 2Apr 2, 2024 to Mar 27, 2025
- Discretionary RAUM · $926M to $1.1BApr 2, 2024 to Mar 27, 2025
- HNW RAUM · $50.3M to $99.3MApr 2, 2024 to Mar 27, 2025
- Individual RAUM · $61.5M to $45.3MApr 2, 2024 to Mar 27, 2025
- Pension RAUM · $813M to $934MApr 2, 2024 to Mar 27, 2025
- RAUM · $926M to $1.1BApr 2, 2024 to Mar 27, 2025
- Related insurance company · false to trueApr 2, 2024 to Mar 27, 2025
- Accounts · 629 to 632Sep 29, 2023 to Mar 29, 2024
- HNW clients · 21 to 28Sep 29, 2023 to Mar 29, 2024
- Pension plan clients · 348 to 340Sep 29, 2023 to Mar 29, 2024
- Assets in custody · $6.8M to $7.7MSep 29, 2023 to Mar 29, 2024
- Discretionary RAUM · $800M to $926MSep 29, 2023 to Mar 29, 2024
- HNW RAUM · $35.2M to $50.3MSep 29, 2023 to Mar 29, 2024
- Individual RAUM · $59.6M to $61.5MSep 29, 2023 to Mar 29, 2024
- Pension RAUM · $705M to $813MSep 29, 2023 to Mar 29, 2024
- RAUM · $800M to $926MSep 29, 2023 to Mar 29, 2024
- Accounts · 643 to 629Oct 18, 2022 to Mar 30, 2023
- BD registered reps · 1 to 0Oct 18, 2022 to Mar 30, 2023
- HNW clients · 56 to 21Oct 18, 2022 to Mar 30, 2023
- Individual clients · 272 to 262Oct 18, 2022 to Mar 30, 2023
- Pension plan clients · 315 to 348Oct 18, 2022 to Mar 30, 2023
- Assets in custody · $14.0M to $6.8MOct 18, 2022 to Mar 30, 2023
- Discretionary RAUM · $924M to $800MOct 18, 2022 to Mar 30, 2023
- HNW RAUM · $76.4M to $35.2MOct 18, 2022 to Mar 30, 2023
- Individual RAUM · $60.1M to $59.6MOct 18, 2022 to Mar 30, 2023
- Pension RAUM · $786M to $705MOct 18, 2022 to Mar 30, 2023
- RAUM · $924M to $800MOct 18, 2022 to Mar 30, 2023
- Discretionary RAUM · $922M to $924MMar 30, 2022 to Jun 30, 2022
- Non-discretionary RAUM · $1.2M to $0Mar 30, 2022 to Jun 30, 2022
Signals
1 dated events
- Wespac Advisors, Llc reported RAUM $908.3M, up 32% from $687.6M (2019-01-31 to 2019-03-26)Mar 26, 2019 · RAUM change · derived
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
- Firm profile
- linkedin.com/company/2064318reportedpublic record, Form ADV, Sep 17, 2026
- Website
- focusfinancialpartners.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 510-287-5255reportedpublic record, Form ADV, Apr 1, 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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $151Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026