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
D••••• I••••••••• A••••••••• L••
Latest filing Mar 18, 2026
First filing on the tape Mar 27, 2013 · 22 filings
SEC status approved since Apr 2, 2013
RAUM
$225M
reported, Item 5.F
Discretionary
0.1%
of RAUM
Private clients
82%
$185M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$225M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$225M as of Mar 18, 2026
Mar 28, 2014$125M then
HNW client RAUM$185M as of Mar 18, 2026
Mar 28, 2018$262M then
State-registered IARs (5.B.3)1 as of Mar 18, 2026
Mar 28, 20141 then
Employees (5.A)1 as of Mar 18, 2026
Mar 28, 20141 then
Private funds: no history
RAUM +2.1% over the last fiscal year+6.7% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 18, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $225MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.6MderivedHNW RAUM over HNW clients
- Average account
- $6.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.1%derivedof RAUM
- Institutional
- 18%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +2.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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
- buys or sells securities as principal to or from clients (8.A.2)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$185M82%
- Charitable organizations$39.8M18%
- Individual clients
- n/areported
- HNW clients
- 28reported
- Pension plan clients
- n/areported
- Charitable clients
- 5reported
- Accounts
- 33reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.82 fund_share=0.0 institutional_share=0.18 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| G•••••• D••••• V•• W•• | Santa Barbara, Ca | May 24, 2011 | 24 y | 5 |
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
- C••••••••• J•• B••••• to S•••••• A••••••• G••••• L••Feb 18, 2021 · Other
- T•••••• V••••• F••••••• to A•••••• W••••• M••••••••• L••Dec 21, 2020 · RIA to RIA
- A••• C•••• to A•••••• W••••• M••••••••• L••Dec 21, 2020 · RIA to RIA
- L••••• M•••• V•••••••• to A•••••• W••••• M••••••••• L••Apr 23, 2020 · RIA to RIA
Joined, latest
- L••••• M•••• V•••••••• from M••••••••• C•••••• M••••••••• L••Sep 21, 2016 · Other
- A••• C•••• from U•• F•••••••• S••••••• I•••Jul 11, 2016 · Other
- C••••••••• J•• B••••• from F•••••••• I••••••••• C••••••• L••Aug 17, 2015 · Other
- G•••••• D••••• V•• W•• from P•••••• P••••• A••••••• L••May 24, 2011 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for A•••••• W••••• M••••••••• L••Dec 21, 2020 · Santa Barbara, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- V•• W••• G••••••• D••••• · Investment Manager/Founder/Ccocontrolsince 08/2011 · owns 75% or more
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 35 to 33Aug 6, 2025 to Mar 18, 2026
- Charity clients · 4 to 5Aug 6, 2025 to Mar 18, 2026
- HNW clients · 31 to 28Aug 6, 2025 to Mar 18, 2026
- Discretionary RAUM · $294,595 to $203,617Aug 6, 2025 to Mar 18, 2026
- HNW RAUM · $187M to $185MAug 6, 2025 to Mar 18, 2026
- Non-discretionary RAUM · $220M to $225MAug 6, 2025 to Mar 18, 2026
- RAUM · $221M to $225MAug 6, 2025 to Mar 18, 2026
- Accounts · 112 to 35Mar 29, 2024 to Mar 28, 2025
- Charity clients · 0 to 4Mar 29, 2024 to Mar 28, 2025
- Corporate clients · 0.0 to unsetMar 29, 2024 to Mar 28, 2025
- HNW clients · 24 to 31Mar 29, 2024 to Mar 28, 2025
- Individual clients · 0.0 to unsetMar 29, 2024 to Mar 28, 2025
- Pension plan clients · 5.0 to unsetMar 29, 2024 to Mar 28, 2025
- Pooled vehicle clients · 0.0 to unsetMar 29, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 29, 2024 to Mar 28, 2025
- Discretionary RAUM · $212,245 to $294,595Mar 29, 2024 to Mar 28, 2025
- HNW RAUM · $164M to $187MMar 29, 2024 to Mar 28, 2025
- Individual RAUM · 0.0 to unsetMar 29, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $191M to $220MMar 29, 2024 to Mar 28, 2025
- Pension RAUM · 27224500.0 to unsetMar 29, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · 0.0 to unsetMar 29, 2024 to Mar 28, 2025
- RAUM · $191M to $221MMar 29, 2024 to Mar 28, 2025
- Accounts · 29 to 112Mar 23, 2023 to Mar 29, 2024
- Charity clients · unset to 0.0Mar 23, 2023 to Mar 29, 2024
- HNW clients · 25 to 24Mar 23, 2023 to Mar 29, 2024
- Pension plan clients · 0 to 5Mar 23, 2023 to Mar 29, 2024
- Discretionary RAUM · $0 to $212,245Mar 23, 2023 to Mar 29, 2024
- HNW RAUM · $162M to $164MMar 23, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $185M to $191MMar 23, 2023 to Mar 29, 2024
- Pension RAUM · $23.1M to $27.2MMar 23, 2023 to Mar 29, 2024
- RAUM · $185M to $191MMar 23, 2023 to Mar 29, 2024
- Accounts · 26 to 29Mar 10, 2022 to Mar 23, 2023
- HNW clients · 23 to 25Mar 10, 2022 to Mar 23, 2023
- Employees · 2 to 1Mar 10, 2022 to Mar 23, 2023
- HNW RAUM · $157M to $162MMar 10, 2022 to Mar 23, 2023
- Non-discretionary RAUM · $178M to $185MMar 10, 2022 to Mar 23, 2023
- Pension RAUM · $0 to $23.1MMar 10, 2022 to Mar 23, 2023
- RAUM · $178M to $185MMar 10, 2022 to Mar 23, 2023
- Accounts · 23 to 26Feb 18, 2021 to Mar 10, 2022
- HNW clients · 20 to 23Feb 18, 2021 to Mar 10, 2022
Signals
2 dated events
- D••••• I••••••••• A••••••••• L•• reported RAUM $155.9M, down 42% from $268.4M (2020-06-29 to 2021-02-18)Feb 18, 2021 · RAUM change · derived
- D••••• I••••••••• A••••••••• L•• filed its initial SEC registration (Form ADV)Mar 27, 2013 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- D••••• I••••••••• A••••••••• L•• · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Business email
- admin@diasocal.comreportedpublished by the firm, firm site, Sep 17, 2026
- Website
- diasocal.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 805-845-7724reportedpublic record, Form ADV, Mar 18, 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
- $225Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026