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
I••••••••• W••••• M•••••••••
Legal name R••••• I•••••••••
Latest filing May 19, 2026
First filing on the tape Nov 19, 2021 · 19 filings
SEC status approved since Dec 16, 2021
RAUM
$471M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
98%
$462M individuals and HNW
Advisors
10
registered through the firm on IAPD
RAUM per advisor
$47.1M
derived; firm RAUM over IAPD count
Employees
14
9 advisory (5.B.1)
Offices
8
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$471M as of May 19, 2026
Mar 17, 2022$124M then
HNW client RAUM$440M as of May 19, 2026
Mar 17, 2022$103M then
State-registered IARs (5.B.3)9 as of May 19, 2026
Mar 17, 20226 then
Employees (5.A)14 as of May 19, 2026
Mar 17, 20228 then
Private funds: no history
RAUM +25% over the last fiscal year+34% a year over threeIARs 10 to 9
Practice profile
derived from the filing of May 19, 2026; every figure names its basis
- RAUM per advisor
- $47.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 20derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $378,051derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 2.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 1.1derived9 offices incl. principal (1.F.5)
- RAUM growth, one year
- +25%derivedbetween the last two annual amendments
- Advisor growth, one year
- -10%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.3%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, otherreportedItem 5.G
- Custody
- $127M, 122 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$440M93%
- Individuals$21.3M4.5%
- Pension and profit-sharing plans$9.5M2.0%
- Individual clients
- 66reported
- HNW clients
- 137reported
- Pension plan clients
- 12reported
- Charitable clients
- n/areported
- Accounts
- 1,246reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $127M for 122 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
10 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• S••• R••••• | San Diego, Ca | Jan 26, 2011 | 22 y | 1 |
| B••••••• S••••• R••••• | San Diego, Ca | May 21, 2014 | 39 y | 2 |
| N••••• J••••• M••••••Certified Financial Planner | San Diego, Ca | Aug 24, 2015 | 11 y | 0 |
| S••• J••• G•••••Certified Financial Planner | Nashua, Nh | Jun 10, 2022 | 10 y | 2 |
| J••• D• K••••Certified Financial Planner | Berkeley, Ca | Jan 1, 2025 | 10 y | 2 |
| D•••• K••Certified Financial Planner | Northglenn, Co | Sep 3, 2025 | 11 y | 1 |
| C•••••••• P•••••••Certified Financial Planner | Orchard Park, Ny | Dec 10, 2025 | 14 y | 6 |
| K••••••• G•••• N•••••Certified Financial Planner | San Diego, Ca | Dec 24, 2025 | 11 y | 3 |
| Z•••••• P••• B•••••Certified Financial Planner | San Diego, Ca | May 19, 2026 | 13 y | 1 |
| J••••• W••••• S••••••Chartered Financial Consultant | San Diego, Ca | Jul 29, 2026 | 10 y | 1 |
Advisor movement
2 left, 4 joined in 12 months
net +2 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 20% of current headcount5 left over 36 months
Left, latest
- C••••••••• T•••• to L•• F•••••••• L••Feb 11, 2026 · RIA to affiliated broker-dealer or bank
- H•••• B•• P••• to R•••••••• L••Feb 11, 2026 · RIA to RIA
- S••• R• M•••••• to Q• A•••••••• L••Aug 14, 2025 · Other
- P•••• P•••••• J•••• to T••••••• A•••• M••••••••• L••Jun 16, 2025 · RIA to RIA
- J•••• R••• R•••••••• to S•••••• F•••••••• L••Mar 26, 2024 · RIA to RIA
- J•••• P••••• to S••••• W•••••Jul 12, 2023 · RIA to a state-registered adviser
- E••• E••••• N•••••••• to O••••• I••••••••• A••••••• L••May 2, 2022 · RIA to RIA
- K••••••• B••••••• B••• to S•• W•••••Mar 15, 2021 · RIA to a newly registered adviser
- A••••• J•••• C••••••• to C•••••••Mar 27, 2020 · Other
Joined, latest
- J••••• W••••• S•••••• from P•••• F•••••••• G•••• W••••• M••••••••• I•••Jul 29, 2026 · RIA to RIA
- Z•••••• P••• B••••• from F•••• P••••••• W•••••• L••May 19, 2026 · RIA to RIA
- K••••••• G•••• N••••• from L•• O••• C•••••• A•••••••• L••Dec 24, 2025 · RIA to RIA
- C•••••••• P••••••• from S••••••• I••••••••• C••••••• L••Dec 10, 2025 · RIA to RIA
- D•••• K•• from I• F•••••••• A••••••• S••••••• L••Sep 3, 2025 · RIA to RIA
- H•••• B•• P••• from T•• W••••• C••••••••• I•••Feb 28, 2025 · RIA to RIA
- J••• D• K•••• from S•••• I••••••••• • P••••••• L••Jan 1, 2025 · Other
- P•••• P•••••• J•••• from M•••••• C••••••• L•••••Apr 4, 2024 · Other
- S••• R• M•••••• from M••••••Mar 1, 2024 · Affiliated broker-dealer or bank to independent RIA
- S••• J••• G••••• from A••••••••• F•••••••• S•••••••• L••Jun 10, 2022 · Affiliated broker-dealer or bank to independent RIA
- J•••• R••• R•••••••• from T••••••• I••••••••• M••••••••• I•••Mar 17, 2022 · Affiliated broker-dealer or bank to independent RIA
- J•••• P••••• from B•••••• F••••••••• L••Jun 11, 2021 · RIA to RIA
- E••• E••••• N•••••••• from T• A••••••••• I•••Apr 14, 2020 · Other
- K••••••• B••••••• B••• from B••••• • B•••••• L••Aug 22, 2019 · Other
- A••••• J•••• C••••••• from W•••••••• A•••• M••••••••• I•••Jul 25, 2018 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R•••••• M••••••• S••• · President/Chief Compliance Officercontrolsince 02/2009 · owns 75% or more
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 | 10 | 4 | 1 | ||
| Kilgore, Tx | 0 | 0 | 0 | ||
| Boise, Id | 0 | 0 | 0 | ||
| Boulder, Co | 0 | 0 | 1 | ||
| Phoenix, Az | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 1,091 to 1,246Oct 28, 2025 to Mar 16, 2026
- Advisory employees · 10 to 9Oct 28, 2025 to Mar 16, 2026
- HNW clients · 109 to 137Oct 28, 2025 to Mar 16, 2026
- Individual clients · 101 to 66Oct 28, 2025 to Mar 16, 2026
- Pension plan clients · 10 to 12Oct 28, 2025 to Mar 16, 2026
- Assets in custody · $73.6M to $127MOct 28, 2025 to Mar 16, 2026
- Employees · 15 to 14Oct 28, 2025 to Mar 16, 2026
- State-registered IARs · 10 to 9Oct 28, 2025 to Mar 16, 2026
- Discretionary RAUM · $358M to $460MOct 28, 2025 to Mar 16, 2026
- HNW RAUM · $322M to $440MOct 28, 2025 to Mar 16, 2026
- Individual RAUM · $48.1M to $21.3MOct 28, 2025 to Mar 16, 2026
- Non-discretionary RAUM · $19.7M to $11.3MOct 28, 2025 to Mar 16, 2026
- Pension RAUM · $7.0M to $9.5MOct 28, 2025 to Mar 16, 2026
- RAUM · $377M to $471MOct 28, 2025 to Mar 16, 2026
- Accounts · 970 to 1,091Mar 23, 2024 to Mar 17, 2025
- Advisory employees · 9 to 10Mar 23, 2024 to Mar 17, 2025
- HNW clients · 112 to 109Mar 23, 2024 to Mar 17, 2025
- Individual clients · 100 to 101Mar 23, 2024 to Mar 17, 2025
- Pension plan clients · 11 to 10Mar 23, 2024 to Mar 17, 2025
- Assets in custody · $80.0M to $73.6MMar 23, 2024 to Mar 17, 2025
- Employees · 14 to 15Mar 23, 2024 to Mar 17, 2025
- Financial planning clients · 101-250 to 101-250Mar 23, 2024 to Mar 17, 2025
- State-registered IARs · 9 to 10Mar 23, 2024 to Mar 17, 2025
- Discretionary RAUM · $289M to $358MMar 23, 2024 to Mar 17, 2025
- HNW RAUM · $258M to $322MMar 23, 2024 to Mar 17, 2025
- Individual RAUM · $42.7M to $48.1MMar 23, 2024 to Mar 17, 2025
- Non-discretionary RAUM · $18.4M to $19.7MMar 23, 2024 to Mar 17, 2025
- Pension RAUM · $6.0M to $7.0MMar 23, 2024 to Mar 17, 2025
- RAUM · $307M to $377MMar 23, 2024 to Mar 17, 2025
- Accounts · 849 to 970Jan 18, 2024 to Mar 23, 2024
- Advisory employees · 7 to 9Jan 18, 2024 to Mar 23, 2024
- HNW clients · 96 to 112Jan 18, 2024 to Mar 23, 2024
- Pension plan clients · 9 to 11Jan 18, 2024 to Mar 23, 2024
- Assets in custody · $72.5M to $80.0MJan 18, 2024 to Mar 23, 2024
- Employees · 11 to 14Jan 18, 2024 to Mar 23, 2024
- State-registered IARs · 7 to 9Jan 18, 2024 to Mar 23, 2024
- Other offices · 6 to 8Jan 18, 2024 to Mar 23, 2024
- Discretionary RAUM · $184M to $289MJan 18, 2024 to Mar 23, 2024
- HNW RAUM · $165M to $258MJan 18, 2024 to Mar 23, 2024
- Individual RAUM · $27.3M to $42.7MJan 18, 2024 to Mar 23, 2024
Signals
9 dated events
- C••••••••• T•••• left I••••••••• W••••• M••••••••• for L•• F•••••••• L•• (registered 2026-04-10)Feb 11, 2026 · Advisor changed firm · fact
- H•••• B•• P••• left I••••••••• W••••• M••••••••• for R•••••••• L•• (registered 2026-04-29)Feb 11, 2026 · Advisor changed firm · fact
- S••• R• M•••••• left I••••••••• W••••• M••••••••• for Q• A•••••••• L•• (registered 2025-07-10)Aug 14, 2025 · Advisor changed firm · fact
- P•••• P•••••• J•••• left I••••••••• W••••• M••••••••• for T••••••• A•••• M••••••••• L•• (registered 2025-09-12)Jun 16, 2025 · Advisor changed firm · fact
- J•••• R••• R•••••••• left I••••••••• W••••• M••••••••• for S•••••• F•••••••• L•• (registered 2025-03-06)Mar 26, 2024 · Advisor changed firm · fact
- I••••••••• W••••• M••••••••• reported RAUM $307.1M, up 56% from $196.4M (2024-01-18 to 2024-03-23)Mar 23, 2024 · RAUM change · derived
- J•••• P••••• left I••••••••• W••••• M••••••••• for S••••• W••••• (registered 2023-11-22)Jul 12, 2023 · Advisor changed firm · fact
- E••• E••••• N•••••••• left I••••••••• W••••• M••••••••• for O••••• I••••••••• A••••••• L•• (registered 2022-07-20)May 2, 2022 · Advisor changed firm · fact
- I••••••••• W••••• M••••••••• filed its initial SEC registration (Form ADV)Nov 19, 2021 · 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
- Business email
- t••••••@i•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 858-766-5529reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 858-246-6855reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- LINKEDIN.COM/company/illumination-wealth-managementreportedpublic record, Form ADV, Sep 18, 2026
- Website
- I•••••••••WEALTH.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 858-246-6855reportedpublic record, Form ADV, May 19, 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
- $47.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026