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
W••••••• I••••••••• M••••••••• L••
Latest filing Feb 27, 2026
First filing on the tape Dec 21, 2011 · 32 filings
SEC status approved since Aug 30, 2010
RAUM
$889M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
86%
$762M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$127M
derived; firm RAUM over IAPD count
Employees
14
7 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$889M as of Feb 27, 2026
Dec 21, 2011$140M then
HNW client RAUM$663M as of Feb 27, 2026
Mar 28, 2018$318M then
State-registered IARs (5.B.3)7 as of Feb 27, 2026
Dec 21, 20110 then
Employees (5.A)14 as of Feb 27, 2026
Jan 4, 20134 then
Private funds: no history
RAUM +15% over the last fiscal year+20% a year over threeIARs 8 to 7
Practice profile
derived from the filing of Feb 27, 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
- RAUM per advisor
- $127MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 120derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $1.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- -13%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -23%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Ownership
- controlled by a public reporting companyderived
- 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)
- controlled by a public reporting company (10.A)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$663M75%
- Individuals$99.0M11%
- Corporations and businesses$98.0M11%
- Pension and profit-sharing plans$25.4M2.9%
- Charitable organizations$3.3M0.4%
- Individual clients
- 474reported
- HNW clients
- 365reported
- Pension plan clients
- 31reported
- Charitable clients
- 8reported
- Accounts
- 755reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- $0 sponsored, $1.6M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.86 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=7.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| V•••• J••••••• R•••• | Kahului, Hi | Aug 31, 2010 | 22 y | 0 |
| M••• L•••••• C•••• | Santa Monica, Ca | Aug 31, 2010 | 35 y | 3 |
| D•••• T••• C•••• | Oklahoma City, Ok | Aug 31, 2010 | 34 y | 1 |
| J•••• M•••••• F••••••Chartered Financial Consultant | Santa Monica, Ca | Aug 31, 2010 | 29 y | 1 |
| S•• B•••• R••••• | Oklahoma City, Ok | Oct 15, 2012 | 21 y | 1 |
| N••• A• C•••••• | Santa Monica, Ca | Jan 16, 2014 | 33 y | 2 |
| S••••• P•••••• Y•••••• | Kahului, Hi | Jan 24, 2014 | 27 y | 3 |
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
- D•••• S••• to J••• M••••• S••••••••• L••Aug 26, 2022 · RIA to wirehouse
- A••• P•••••• S•••• to W••••••• G••••• W••••• A•••••••Dec 31, 2019 · RIA to a newly registered adviser
- S•••• E• P••••• to K••••• A•••••••• I•••Dec 6, 2012 · Other
Joined, latest
- S••••• P•••••• Y•••••• from B••••••• I••••••••• S•••••••• I••• •••••Jan 24, 2014 · Other
- N••• A• C•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jan 16, 2014 · Other
- S•• B•••• R••••• from A••••••••• F•••••••• S•••••••• L••Oct 15, 2012 · Other
- S•••• E• P••••• from W•••• F•••• A•••••••Apr 12, 2011 · Other
- D•••• T••• C•••• from A••••••••• F•••••••• S•••••••• L••Aug 31, 2010 · Other
- A••• P•••••• S•••• from L•• F•••••••• L••Aug 31, 2010 · Other
- J•••• M•••••• F•••••• from A••••••••• F•••••••• S•••••••• L••Aug 31, 2010 · Other
- M••• L•••••• C•••• from M••••• S••••••Aug 31, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F••••••• J••••• M•••••• · Chief Compliance Officercontrolsince 06/2010 · owns less than 5%
- C••••• D••••• T••• · Shareholdercontrolsince 02/2022 · owns 75% or more of D•• I••••••••• M••••••••• I•••
- F••••••• J••••• M•••••• · Shareholdercontrolsince 02/2022 · owns 75% or more of F•••••• C•••••• M••••••••• I•••
Entity owners
- D•• I••••••••• M••••••••• I••• · Memberdirect · owns 50% to 75%
- F•••••• C•••••• M••••••••• I••• · Memberdirect · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Santa Monica, Ca · principal | 6 | 0 | 0 | ||
| Oklahoma City, Ok | 3 | 0 | 0 | ||
| Kahului, Hi | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Oklahoma City, OK3 employees
- Wailuku, HI3 employees
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Feb 27, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-m•••et or the departure of small accounts. RAUM $774,187,696 to $888,776,410, advisors 8 to 7, private clients 1093 to 839, offices 2 to 2 (2025-04-25 to 2026-02-27)peers: independent wealth managers, $500M to $1B (1,482)
- account count collapseChange between filings · filing Feb 27, 2026accounts (Item 5.F.2.f) moved from 2,339.0 to 755.0 (-68.0%) between the annual amendments of 2025-04-25 and 2026-02-27; the peer median change was +6.0% (1256 comparable advisers, 1.0th percentile of changes)peers: independent wealth managers, $500M to $1B (1,256) · 0.6% percentile
- HNW share shiftChange between filings · filing Feb 27, 2026HNW share of RAUM moved from 59.0% to 75.0% between the annual amendments of 2025-04-25 and 2026-02-27peers: independent wealth managers, $500M to $1B (1,482)
What changed
consecutive filings, newest first
- Accounts · 2,339 to 755Apr 25, 2025 to Feb 27, 2026
- Advisory employees · 8 to 7Apr 25, 2025 to Feb 27, 2026
- BD registered reps · 8 to 7Apr 25, 2025 to Feb 27, 2026
- HNW clients · 348 to 365Apr 25, 2025 to Feb 27, 2026
- Individual clients · 745 to 474Apr 25, 2025 to Feb 27, 2026
- Pension plan clients · 8 to 31Apr 25, 2025 to Feb 27, 2026
- Employees · 17 to 14Apr 25, 2025 to Feb 27, 2026
- Financial planning clients · 101-250 to 51-100Apr 25, 2025 to Feb 27, 2026
- State-registered IARs · 8 to 7Apr 25, 2025 to Feb 27, 2026
- Discretionary RAUM · $774M to $889MApr 25, 2025 to Feb 27, 2026
- HNW RAUM · $460M to $663MApr 25, 2025 to Feb 27, 2026
- Individual RAUM · $171M to $99.0MApr 25, 2025 to Feb 27, 2026
- Pension RAUM · $60.5M to $25.4MApr 25, 2025 to Feb 27, 2026
- RAUM · $774M to $889MApr 25, 2025 to Feb 27, 2026
- Wrap assets (manager) · $3.5M to $1.6MApr 25, 2025 to Feb 27, 2026
- Accounts · 1,153 to 2,339Mar 23, 2024 to Apr 25, 2025
- Charity clients · 13 to 8Mar 23, 2024 to Apr 25, 2025
- Corporate clients · unset to 12.0Mar 23, 2024 to Apr 25, 2025
- HNW clients · 15 to 348Mar 23, 2024 to Apr 25, 2025
- Individual clients · 2,445 to 745Mar 23, 2024 to Apr 25, 2025
- Pension plan clients · 5 to 8Mar 23, 2024 to Apr 25, 2025
- Employees · 15 to 17Mar 23, 2024 to Apr 25, 2025
- Financial planning clients · 101-250 to 101-250Mar 23, 2024 to Apr 25, 2025
- Discretionary RAUM · $659M to $774MMar 23, 2024 to Apr 25, 2025
- HNW RAUM · $205M to $460MMar 23, 2024 to Apr 25, 2025
- Individual RAUM · $416M to $171MMar 23, 2024 to Apr 25, 2025
- Pension RAUM · $36.4M to $60.5MMar 23, 2024 to Apr 25, 2025
- RAUM · $659M to $774MMar 23, 2024 to Apr 25, 2025
- Wrap assets (manager) · unset to 3461130.0Mar 23, 2024 to Apr 25, 2025
- Wrap assets (sponsor) · unset to 0.0Mar 23, 2024 to Apr 25, 2025
- Accounts · 967 to 1,153Apr 28, 2023 to Mar 22, 2024
- Advisory activities · 6 to 4Apr 28, 2023 to Mar 22, 2024
- Charity clients · unset to 13.0Apr 28, 2023 to Mar 22, 2024
- HNW clients · 75 to 15Apr 28, 2023 to Mar 22, 2024
- Individual clients · 380 to 2,445Apr 28, 2023 to Mar 22, 2024
- Pension plan clients · 6 to 5Apr 28, 2023 to Mar 22, 2024
- Employees · 12 to 15Apr 28, 2023 to Mar 22, 2024
- Discretionary RAUM · $512M to $659MApr 28, 2023 to Mar 22, 2024
- HNW RAUM · $183M to $205MApr 28, 2023 to Mar 22, 2024
- Individual RAUM · $291M to $416MApr 28, 2023 to Mar 22, 2024
Signals
7 dated events
- W••••••• I••••••••• M••••••••• L•• reported RAUM $659.4M, up 29% from $511.5M (2023-04-28 to 2024-03-22)Mar 22, 2024 · RAUM change · derived
- D•••• S••• left W••••••• I••••••••• M••••••••• L•• for J••• M••••• S••••••••• L•• (registered 2023-01-24)Aug 26, 2022 · Advisor changed firm · fact
- W••••••• I••••••••• M••••••••• L•• reported RAUM $520.8M, down 27% from $716.2M (2022-04-11 to 2022-06-03)Jun 3, 2022 · RAUM change · derived
- W••••••• I••••••••• M••••••••• I••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Apr 11, 2022 · Succession (Item 4) · fact
- W••••••• I••••••••• M••••••••• L•• reported RAUM $626.9M, up 43% from $439.2M (2019-11-26 to 2020-03-09)Mar 9, 2020 · RAUM change · derived
- W••••••• I••••••••• M••••••••• L•• reported 0 state-registered advisory representatives, down from 10 (2018-03-28 to 2019-03-11)Mar 11, 2019 · Advisor headcount change · derived
- A•••••• C•••••• S••••• (Compliance Officer) no longer on Schedule A of W••••••• I••••••••• M••••••••• L•• (listed 2018-03-28, absent 2019-03-11)Mar 11, 2019 · Control person left · inference
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
- billy@w•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- becky@w•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- allison@w•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- abe@w•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- madison@w•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- nicole@w•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- sky@w•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- t•••@w•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- wimoperations@w•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- chris@w•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- gena@w•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 310-315-9401reportedpublished by the firm, firm site, Sep 15, 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
- $127Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026