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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Former SEC-registered adviser
D••••• W••••• A•••••••
Legal name D• A••••••• L••
Latest filing Oct 8, 2018
First filing on the tape Jan 4, 2012 · 58 filings
RAUM
$340M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
99%
$336M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
16
13 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
58 filings and snapshots on the tape
RAUM$340M as of Mar 9, 2018
Mar 28, 2014$211M then
HNW client RAUM: $58.9M
State-registered IARs (5.B.3)6 as of Mar 9, 2018
Mar 28, 201411 then
Employees (5.A)16 as of Mar 9, 2018
Mar 28, 201415 then
Private funds: no history
RAUM +8.7% over the last fiscal year+17% a year over threeIARs 13 to 6
Practice profile
derived from the filing of Oct 8, 2018; every figure names its basis
- RAUM per advisor
- $56.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 65derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $456,589derivedHNW RAUM over HNW clients
- Average account
- $312,615derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 1.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.7derivedItem 5.A over advisors
- Advisors per office
- 2.0derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- -54%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $94.6M, 253 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)
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$277M82%
- High-net-worth individuals$58.9M17%
- Pension and profit-sharing plans$3.7M1.1%
- Individual clients
- 263reported
- HNW clients
- 129reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,086reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $94.6M for 253 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- D•••• C••••••• M•••• to C•••••• W••••• A•••••••Nov 1, 2018 · RIA to a newly registered adviser
- B•••• F•••••••• F•••••• to C•••••• W••••• A•••••••Nov 1, 2018 · RIA to a newly registered adviser
- M••• S••••• D•••• to F•••••••• W••••• M••••••••• L•••••Jul 9, 2018 · RIA to a state-registered adviser
- C•••••• C••••••• R••••• to A•••••• W••••• A•••••••Dec 31, 2017 · Other
- A••••••••• Q••••••• R••••• to A•••••• W••••• A•••••••Dec 31, 2017 · Other
- R••• J•••••• Y••••• to S•••••••• I••••••••• L••Dec 31, 2017 · Other
- B•••• J•••• U•••• to A•••••••• C•••••• L••Dec 4, 2017 · Other
- R•••••• B••••• B•••••• to B••••• W••••• P•••••••• I•••Dec 4, 2017 · Other
- M•••• D••••• Z••• to L••••• W••••• A•••••••• L••Jul 10, 2017 · Other
- F••• A•••••• B••••• to R• P•••••••• G••••Oct 19, 2016 · Other
- R••••• J•••• P•••••••• to R• P•••••••• G••••Oct 19, 2016 · Other
- B•••• M•••••• C•••• to C•••• W••••• S••••••••• L••Jul 7, 2016 · Other
- A•••••• J•••• G••••• to B••• C••• W••••• M••••••••• I•••May 25, 2016 · Other
- C•••••••• L•••••• M••••• to L••••• A••••••• S•••••••Mar 25, 2016 · Other
- D••••• W•••••• L••••• to L••••• A••••••• S•••••••Mar 25, 2016 · Other
Joined, latest
- J•••••• A••• G•••••• from M••••• S••••••Nov 12, 2015 · Other
- A•••••• J•••• G••••• from P••••••• W••••• P•••••••Sep 23, 2015 · Other
- A••••• •••• K••• from P••••••• W••••• P•••••••Sep 23, 2015 · Other
- I••••• Z• M••••••••• from U•• F•••••••• S••••••• I•••Jul 20, 2015 · Other
- C•••••••• L•••••• M••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jul 7, 2015 · Other
- R••• J•••••• Y••••• from M••••• S••••••Jun 26, 2015 · Other
- D•••• C••••••• M•••• from C•••••• C•••••• M••••••••• G••••• I•••Mar 2, 2015 · Other
- C•••••• C••••••• R••••• from M••••• S••••••Feb 13, 2015 · Other
- A••••••••• Q••••••• R••••• from M••••• S••••••Feb 13, 2015 · Other
- M•••• D••••• Z••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Oct 9, 2014 · Other
- R••••• J•••• P•••••••• from M••••• S••••••Mar 20, 2014 · Other
- M••• S••••• D•••• from C•••••• C•••••• M••••••••• G••••• I•••Dec 2, 2013 · Other
- B•••• F•••••••• F•••••• from C•••••• C•••••• M••••••••• G••••• I•••Dec 2, 2013 · Other
- B•••• M•••••• C•••• from P•••••••• S••••••••• I•••Oct 17, 2013 · Other
- R•••••• B••••• B•••••• from J••• M••••• P•••••• W••••• A••••••• L••Jun 27, 2013 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for C•••••• W••••• A•••••••Nov 1, 2018 · San Diego, Ca
- 2 left for A•••••• W••••• A•••••••Dec 31, 2017 · Corona Del Mar, Ca
- 2 left for R• P•••••••• G••••Oct 19, 2016 · Corona Del Mar, Ca
- 2 left for L••••• A••••••• S•••••••Mar 25, 2016 · Corona Del Mar, Ca
- 2 joined from P••••••• W••••• P•••••••Nov 19, 2015 · Tampa, Fl
- 2 joined from M••••• S••••••Feb 27, 2015 · Pasadena, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••• C••••••• B•••••• · Managing Member And Chief Compliance Officercontrolsince 06/2009 · owns 75% or more
Related persons
Schedule D 7.A
- C•••••• C•••••• M••••••••• G••••• I•••real estaten
Offices
Schedule D 1.F, the 25 largest
- San Diego, CA14 employees
- Newport Beach, CA1 employees
What changed
consecutive filings, newest first
- HQ city · NEWPORT BEACH to CORONA DEL MARMar 9, 2018 to Oct 8, 2018
- Accounts · 1,032 to 1,086Sep 12, 2017 to Mar 9, 2018
- HNW clients · unset to 129.0Sep 12, 2017 to Mar 9, 2018
- Individual clients · unset to 263.0Sep 12, 2017 to Mar 9, 2018
- Commission compensation · true to falseSep 12, 2017 to Mar 9, 2018
- Assets in custody · unset to 94550156.0Sep 12, 2017 to Mar 9, 2018
- Custody of client assets · false to trueSep 12, 2017 to Mar 9, 2018
- Employees · 15 to 16Sep 12, 2017 to Mar 9, 2018
- Financial planning clients · 0 to 1-10Sep 12, 2017 to Mar 9, 2018
- State-registered IARs · 13 to 6Sep 12, 2017 to Mar 9, 2018
- Other offices · unset to 2.0Sep 12, 2017 to Mar 9, 2018
- Discretionary RAUM · $258M to $332MSep 12, 2017 to Mar 9, 2018
- HNW RAUM · unset to 58900000.0Sep 12, 2017 to Mar 9, 2018
- Individual RAUM · unset to 276900000.0Sep 12, 2017 to Mar 9, 2018
- Non-discretionary RAUM · $54.1M to $7.2MSep 12, 2017 to Mar 9, 2018
- Pension RAUM · unset to 3700000.0Sep 12, 2017 to Mar 9, 2018
- RAUM · $312M to $340MSep 12, 2017 to Mar 9, 2018
- Accounts · 1,251 to 1,032Mar 23, 2017 to Mar 30, 2017
- Advisory employees · 18 to 13Mar 23, 2017 to Mar 30, 2017
- BD registered reps · 3 to 0Mar 23, 2017 to Mar 30, 2017
- Employees · 27 to 15Mar 23, 2017 to Mar 30, 2017
- Financial planning clients · 1-10 to 0Mar 23, 2017 to Mar 30, 2017
- State-registered IARs · 11 to 13Mar 23, 2017 to Mar 30, 2017
- Discretionary RAUM · $404M to $258MMar 23, 2017 to Mar 30, 2017
- Non-discretionary RAUM · $20.2M to $54.1MMar 23, 2017 to Mar 30, 2017
- RAUM · $424M to $312MMar 23, 2017 to Mar 30, 2017
- Accounts · 48 to 1,251Mar 24, 2016 to Mar 23, 2017
- Accounts · 1,242 to 48Dec 1, 2015 to Mar 24, 2016
- Advisory employees · 15 to 18Dec 1, 2015 to Mar 24, 2016
- BD registered reps · 0 to 3Dec 1, 2015 to Mar 24, 2016
- Commission compensation · false to trueDec 1, 2015 to Mar 24, 2016
- Employees · 16 to 27Dec 1, 2015 to Mar 24, 2016
- Financial planning clients · 0 to 1-10Dec 1, 2015 to Mar 24, 2016
- State-registered IARs · 15 to 11Dec 1, 2015 to Mar 24, 2016
- Discretionary RAUM · $354M to $404MDec 1, 2015 to Mar 24, 2016
- Non-discretionary RAUM · $39.0M to $20.2MDec 1, 2015 to Mar 24, 2016
- RAUM · $393M to $424MDec 1, 2015 to Mar 24, 2016
- Accounts · 290 to 1,242Apr 2, 2015 to Apr 6, 2015
- Discretionary RAUM · $191M to $354MApr 2, 2015 to Apr 6, 2015
- Non-discretionary RAUM · $20.0M to $39.0MApr 2, 2015 to Apr 6, 2015
Signals
1 dated events
- D••••• W••••• A••••••• filed its initial SEC registration (Form ADV)Oct 1, 2013 · 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.
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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026