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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SEC-registered adviser
B••• S••••• W••••• M•••••••••
Legal name B••• S••••• F•••••••• G••••• I•••
Latest filing Jul 10, 2026
First filing on the tape Aug 7, 2019 · 29 filings
SEC status approved since Sep 4, 2019
RAUM
$211M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$211M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$106M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$211M as of Jul 10, 2026
Jan 20, 2020$117M then
HNW client RAUM$165M as of Jul 10, 2026
Jan 20, 2020$71.2M then
State-registered IARs (5.B.3)2 as of Jul 10, 2026
Jan 20, 20203 then
Employees (5.A)2 as of Jul 10, 2026
Jan 20, 20205 then
Private funds: no history
RAUM +9.6% over the last fiscal year+12% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jul 10, 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
- $106MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 114derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $335,492derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.1%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 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
- 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$165M78%
- Individuals$46.6M22%
- Charitable organizations$173,4820.1%
- Individual clients
- 130reported
- HNW clients
- 98reported
- Pension plan clients
- 0reported
- Charitable clients
- 2reported
- Accounts
- 630reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A•••• B•••••• T•••Certified Financial Planner | San Diego, Ca | Jan 11, 2021 | 17 y | 2 |
| R••••• G••••• S••• | San Diego, Ca | Jan 13, 2021 | 16 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
- S•••• G••••• Y•••••• to C••••• A••••••• L••Nov 28, 2014 · Other
Joined, latest
- R••••• G••••• S••• from C••••• A••••••• L••Jan 13, 2021 · Affiliated broker-dealer or bank to independent RIA
- A•••• B•••••• T••• from C••••• A••••••• L••Jan 11, 2021 · Affiliated broker-dealer or bank to independent RIA
- S•••• G••••• Y•••••• from P•••••• W••• F•••••••• C••••••••• I••Apr 24, 2009 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from C••••• A••••••• L••Jun 3, 2018 · La Mesa, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•••• R•••••• G••••• · Partner/Co-Ownercontrolsince 01/2019 · owns 25% to 50%
- T•••• A••••• B•••••• · Partner / Chief Compliance Officercontrolsince 05/2018 · owns 50% to 75%
- S•••• J•••••• L••• · Partnersince 01/2006 · 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 Diego, Ca · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 3 to 2Feb 23, 2026 to Jul 10, 2026
- Employees · 3 to 2Feb 23, 2026 to Jul 10, 2026
- State-registered IARs · 3 to 2Feb 23, 2026 to Jul 10, 2026
- Advisory employees · 2 to 3Jan 14, 2026 to Feb 23, 2026
- Employees · 2 to 3Jan 14, 2026 to Feb 23, 2026
- State-registered IARs · 2 to 3Jan 14, 2026 to Feb 23, 2026
- Accounts · 611 to 630Jan 27, 2025 to Jan 14, 2026
- Charity clients · 1 to 2Jan 27, 2025 to Jan 14, 2026
- HNW clients · 79 to 98Jan 27, 2025 to Jan 14, 2026
- Individual clients · 140 to 130Jan 27, 2025 to Jan 14, 2026
- Discretionary RAUM · $193M to $211MJan 27, 2025 to Jan 14, 2026
- HNW RAUM · $136M to $165MJan 27, 2025 to Jan 14, 2026
- Individual RAUM · $56.6M to $46.6MJan 27, 2025 to Jan 14, 2026
- RAUM · $193M to $211MJan 27, 2025 to Jan 14, 2026
- Accounts · 607 to 611Nov 21, 2024 to Jan 27, 2025
- Advisory employees · 3 to 2Nov 21, 2024 to Jan 27, 2025
- HNW clients · 70 to 79Nov 21, 2024 to Jan 27, 2025
- Individual clients · 143 to 140Nov 21, 2024 to Jan 27, 2025
- Employees · 3 to 2Nov 21, 2024 to Jan 27, 2025
- Financial planning clients · 26-50 to 26-50Nov 21, 2024 to Jan 27, 2025
- State-registered IARs · 3 to 2Nov 21, 2024 to Jan 27, 2025
- Discretionary RAUM · $172M to $193MNov 21, 2024 to Jan 27, 2025
- HNW RAUM · $121M to $136MNov 21, 2024 to Jan 27, 2025
- Individual RAUM · $51.1M to $56.6MNov 21, 2024 to Jan 27, 2025
- RAUM · $172M to $193MNov 21, 2024 to Jan 27, 2025
- HQ city · LA MESA to SAN DIEGOJan 22, 2024 to Nov 21, 2024
- Accounts · 612 to 607Nov 29, 2023 to Jan 22, 2024
- HNW clients · 67 to 70Nov 29, 2023 to Jan 22, 2024
- Individual clients · 144 to 143Nov 29, 2023 to Jan 22, 2024
- Discretionary RAUM · $152M to $172MNov 29, 2023 to Jan 22, 2024
- HNW RAUM · $105M to $121MNov 29, 2023 to Jan 22, 2024
- Individual RAUM · $46.5M to $51.1MNov 29, 2023 to Jan 22, 2024
- RAUM · $152M to $172MNov 29, 2023 to Jan 22, 2024
- Accounts · 583 to 612Sep 8, 2022 to Jan 23, 2023
- HNW clients · 64 to 67Sep 8, 2022 to Jan 23, 2023
- Individual clients · 141 to 144Sep 8, 2022 to Jan 23, 2023
- Discretionary RAUM · $169M to $152MSep 8, 2022 to Jan 23, 2023
- HNW RAUM · $117M to $105MSep 8, 2022 to Jan 23, 2023
- Individual RAUM · $51.5M to $46.5MSep 8, 2022 to Jan 23, 2023
- RAUM · $169M to $152MSep 8, 2022 to Jan 23, 2023
Signals
1 dated events
- B••• S••••• W••••• M••••••••• filed its initial SEC registration (Form ADV)Aug 7, 2019 · 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
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 619-698-4330reportedpublic record, Form ADV, Jul 10, 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
- $106Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026