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
T•••••• W••••• A•••••••• L••
Latest filing Mar 13, 2026
First filing on the tape Jul 9, 2014 · 20 filings
SEC status approved since Jul 21, 2014
RAUM
$480M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
100%
$478M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$120M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$480M as of Mar 13, 2026
Mar 17, 2015$116M then
HNW client RAUM$468M as of Mar 13, 2026
Mar 7, 2018$189M then
State-registered IARs (5.B.3)4 as of Mar 13, 2026
Mar 17, 20154 then
Employees (5.A)4 as of Mar 13, 2026
Mar 17, 20154 then
Private funds: no history
RAUM +24% over the last fiscal year+16% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 13, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- RAUM per advisor
- $120MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 32derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.5MderivedHNW RAUM over HNW clients
- Average account
- $971,328derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 0.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +24%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.3%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $158M, 62 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)
- 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$468M98%
- Individuals$9.8M2.0%
- Pension and profit-sharing plans$2.0M0.4%
- Individual clients
- 23reported
- HNW clients
- 105reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 494reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $158M for 62 clientsreported
- Compensation
- % of AUMreported
- 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
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K•••• J•• O•••••• | San Luis Obispo, Ca | Oct 28, 2010 | 16 y | 0 |
| M••• G••••• T••••••• | San Luis Obispo, Ca | Oct 28, 2010 | 24 y | 2 |
| D•••• S•••• W••••••• | San Luis Obispo, Ca | Oct 29, 2010 | 25 y | 4 |
| C••••• L•••• M••••• | San Luis Obispo, Ca | Oct 8, 2014 | 26 y | 0 |
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
none on the tape
Joined, latest
- D•••• S•••• W••••••• from S• • Y• A•••• M••••••••• L••Oct 29, 2010 · Other
- M••• G••••• T••••••• from C••••••• P••••••••• L••Oct 28, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• C•••••• L•••• · Membercontrolsince 06/2014 · owns 10% to 25%
- O••••••• K••••• J•• · Founder (07/2010) & Trustee (04/2011)controlsince 07/2010 · owns 25% to 50%
- T•••••••• M•••• G••••• · Member & Foundercontrolsince 07/2010 · owns 25% to 50%
- W•••••••• D••••• S•••• · Member & Foundercontrolsince 07/2010 · owns 25% to 50%
- Z•••••• K••••• S•• · Chief Compliance Officercontrolsince 08/2023 · owns less than 5%
Entity owners
- O•••••• F••••• T•••• D•• 4••••••• · Memberdirect · owns 25% to 50%
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 Luis Obispo, Ca · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 493 to 494Mar 26, 2025 to Mar 13, 2026
- HNW clients · 101 to 105Mar 26, 2025 to Mar 13, 2026
- Individual clients · 30 to 23Mar 26, 2025 to Mar 13, 2026
- Assets in custody · $77.3M to $158MMar 26, 2025 to Mar 13, 2026
- Discretionary RAUM · $381M to $475MMar 26, 2025 to Mar 13, 2026
- HNW RAUM · $372M to $468MMar 26, 2025 to Mar 13, 2026
- Individual RAUM · $11.7M to $9.8MMar 26, 2025 to Mar 13, 2026
- Non-discretionary RAUM · $4.4M to $4.9MMar 26, 2025 to Mar 13, 2026
- Pension RAUM · $1.6M to $2.0MMar 26, 2025 to Mar 13, 2026
- RAUM · $385M to $480MMar 26, 2025 to Mar 13, 2026
- Accounts · 518 to 493Nov 21, 2024 to Mar 26, 2025
- HNW clients · 99 to 101Nov 21, 2024 to Mar 26, 2025
- Individual clients · 31 to 30Nov 21, 2024 to Mar 26, 2025
- Assets in custody · $67.9M to $77.3MNov 21, 2024 to Mar 26, 2025
- Financial planning clients · unset to Nov 21, 2024 to Mar 26, 2025
- Discretionary RAUM · $342M to $381MNov 21, 2024 to Mar 26, 2025
- HNW RAUM · $333M to $372MNov 21, 2024 to Mar 26, 2025
- Individual RAUM · $11.9M to $11.7MNov 21, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $4.2M to $4.4MNov 21, 2024 to Mar 26, 2025
- Pension RAUM · $1.4M to $1.6MNov 21, 2024 to Mar 26, 2025
- RAUM · $347M to $385MNov 21, 2024 to Mar 26, 2025
- Accounts · 462 to 518Aug 1, 2023 to Mar 26, 2024
- HNW clients · 95 to 99Aug 1, 2023 to Mar 26, 2024
- Individual clients · 30 to 31Aug 1, 2023 to Mar 26, 2024
- Assets in custody · $48.7M to $67.9MAug 1, 2023 to Mar 26, 2024
- Discretionary RAUM · $304M to $342MAug 1, 2023 to Mar 26, 2024
- HNW RAUM · $295M to $333MAug 1, 2023 to Mar 26, 2024
- Individual RAUM · $12.8M to $11.9MAug 1, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $3.5M to $4.2MAug 1, 2023 to Mar 26, 2024
- Pension RAUM · unset to 1362283.0Aug 1, 2023 to Mar 26, 2024
- RAUM · $307M to $347MAug 1, 2023 to Mar 26, 2024
- Accounts · 461 to 462Mar 22, 2022 to Mar 20, 2023
- HNW clients · 92 to 95Mar 22, 2022 to Mar 20, 2023
- Individual clients · 36 to 30Mar 22, 2022 to Mar 20, 2023
- Assets in custody · $60.1M to $48.7MMar 22, 2022 to Mar 20, 2023
- Discretionary RAUM · $331M to $304MMar 22, 2022 to Mar 20, 2023
- HNW RAUM · $320M to $295MMar 22, 2022 to Mar 20, 2023
- Individual RAUM · $15.6M to $12.8MMar 22, 2022 to Mar 20, 2023
- Non-discretionary RAUM · $4.3M to $3.5MMar 22, 2022 to Mar 20, 2023
- RAUM · $335M to $307MMar 22, 2022 to Mar 20, 2023
Signals
2 dated events
- Sue Krist Zipfel (Chief Compliance Officer) appeared on Schedule A of T•••••• W••••• A•••••••• L••Aug 1, 2023 · Control person joined · fact
- T•••••• W••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Jul 9, 2014 · 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
- i•••@t•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 805-548-8920reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 805-548-8921reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- T••••••WEALTH.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 805-548-8920reportedpublic record, Form ADV, Mar 13, 2026
- Team page
- t•••••••••.comreportedpublished 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
- $120Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026