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•• F••••••••
Legal name W•••• W•••• M••••• L••
Latest filing Apr 12, 2026
First filing on the tape Nov 23, 2011 · 42 filings
SEC status approved since Jul 29, 2011
RAUM
$382M
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
94%
$360M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$95.5M
derived; firm RAUM over IAPD count
Employees
8
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
42 filings and snapshots on the tape
RAUM$382M as of Apr 12, 2026
Mar 29, 2012$100M then
HNW client RAUM$262M as of Apr 12, 2026
Mar 15, 2018$59.3M then
State-registered IARs (5.B.3)4 as of Apr 12, 2026
Mar 29, 20120 then
Employees (5.A)8 as of Apr 12, 2026
Jan 9, 20136 then
Private funds: no history
RAUM +12% over the last fiscal year+8.6% a year over threeIARs 5 to 4
Practice profile
derived from the filing of Apr 12, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · p••••••-client share of RAUM at least 50 percent and HNW share of p••••••-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 a••••••s, one to three offices, no public reporting company control
- RAUM per advisor
- $95.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 136derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $227,002derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%derivedof RAUM
- Institutional
- 4.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- -20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.2%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, educational seminarsreportedItem 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
- is an insurance broker or agent (6.A.6)
- 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$262M69%
- Individuals$98.0M26%
- Pension and profit-sharing plans$17.8M4.7%
- Corporations and businesses$3.9M1.0%
- Individual clients
- 442reported
- HNW clients
- 103reported
- Pension plan clients
- 15reported
- Charitable clients
- n/areported
- Accounts
- 1,682reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.05 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 |
|---|---|---|---|---|
| C•••••••• M••• M•••••Certified Financial Planner | Carlsbad, Ca | Jul 29, 2011 | 25 y | 2 |
| V•••••• J••••• S•••••• | Carlsbad, Ca | Jan 4, 2013 | 42 y | 1 |
| G•••••• J•••• C••••••Certified Financial Planner | Carlsbad, Ca | May 7, 2019 | 31 y | 6 |
| R••••• T••••• I•••••••• | Carlsbad, Ca | Jul 8, 2021 | 23 y | 2 |
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 headcount1 left over 36 months
Left, latest
- S•••• A••• M••••••••• to B•••••• R••• P•••••• W•••••Oct 24, 2023 · RIA to RIA
- E•••••••• M••••••• M••••• to P•••• R••••••••• A•••••••May 29, 2020 · RIA to a state-registered adviser
- B•••• J•• W•••• to P••• F•••••••• A•••••••• L••Mar 31, 2017 · Other
Joined, latest
- R••••• T••••• I•••••••• from A••••••••• A•••••• S•••••••• I•••Jul 8, 2021 · Other
- G•••••• J•••• C•••••• from S••••••• G••••• S••••••••• L••May 7, 2019 · RIA to RIA
- S•••• A••• M••••••••• from L•• F•••••••• L••Apr 28, 2017 · Other
- V•••••• J••••• S•••••• from C••••••• W••••• • C••Jan 4, 2013 · Other
- C•••••••• M••• M••••• from M••••• S••••••Jul 29, 2011 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••• K••••• A•••••• · Chief Compliance Officercontrolsince 07/2011 · owns less than 5%
- M•••••• C••••••••• M••• · Managing Membercontrolsince 07/2011 · owns 25% to 50%
- W••••• S•••••• R•• · Managing Membercontrolsince 07/2011 · 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 |
|---|---|---|---|---|---|
| Carlsbad, Ca | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 7 to 6Mar 26, 2026 to Apr 12, 2026
- Employees · 9 to 8Mar 26, 2026 to Apr 12, 2026
- State-registered IARs · 5 to 4Mar 26, 2026 to Apr 12, 2026
- Accounts · 1,548 to 1,682Nov 11, 2025 to Mar 26, 2026
- Advisory employees · 5 to 7Nov 11, 2025 to Mar 26, 2026
- Corporate clients · 8 to 10Nov 11, 2025 to Mar 26, 2026
- HNW clients · 89 to 103Nov 11, 2025 to Mar 26, 2026
- Individual clients · 429 to 442Nov 11, 2025 to Mar 26, 2026
- Pension plan clients · 19 to 15Nov 11, 2025 to Mar 26, 2026
- Employees · 8 to 9Nov 11, 2025 to Mar 26, 2026
- Discretionary RAUM · $312M to $359MNov 11, 2025 to Mar 26, 2026
- HNW RAUM · $223M to $262MNov 11, 2025 to Mar 26, 2026
- Individual RAUM · $90.3M to $98.0MNov 11, 2025 to Mar 26, 2026
- Non-discretionary RAUM · $30.1M to $22.6MNov 11, 2025 to Mar 26, 2026
- Pension RAUM · $23.8M to $17.8MNov 11, 2025 to Mar 26, 2026
- RAUM · $342M to $382MNov 11, 2025 to Mar 26, 2026
- Accounts · 1,452 to 1,548Mar 25, 2024 to Mar 21, 2025
- Corporate clients · 7 to 8Mar 25, 2024 to Mar 21, 2025
- HNW clients · 71 to 89Mar 25, 2024 to Mar 21, 2025
- Individual clients · 419 to 429Mar 25, 2024 to Mar 21, 2025
- Pension plan clients · 21 to 19Mar 25, 2024 to Mar 21, 2025
- Employees · 7 to 8Mar 25, 2024 to Mar 21, 2025
- Financial planning clients · 0 to 11-25Mar 25, 2024 to Mar 21, 2025
- Discretionary RAUM · $253M to $312MMar 25, 2024 to Mar 21, 2025
- HNW RAUM · $168M to $223MMar 25, 2024 to Mar 21, 2025
- Individual RAUM · $85.2M to $90.3MMar 25, 2024 to Mar 21, 2025
- Non-discretionary RAUM · $26.9M to $30.1MMar 25, 2024 to Mar 21, 2025
- Pension RAUM · $23.1M to $23.8MMar 25, 2024 to Mar 21, 2025
- RAUM · $279M to $342MMar 25, 2024 to Mar 21, 2025
- Accounts · 1,643 to 1,452Oct 10, 2023 to Mar 22, 2024
- Advisory employees · 6 to 5Oct 10, 2023 to Mar 22, 2024
- Corporate clients · 4 to 7Oct 10, 2023 to Mar 22, 2024
- HNW clients · 73 to 71Oct 10, 2023 to Mar 22, 2024
- Individual clients · 510 to 419Oct 10, 2023 to Mar 22, 2024
- Pension plan clients · 13 to 21Oct 10, 2023 to Mar 22, 2024
- Employees · 8 to 7Oct 10, 2023 to Mar 22, 2024
- State-registered IARs · 6 to 5Oct 10, 2023 to Mar 22, 2024
- Discretionary RAUM · $283M to $253MOct 10, 2023 to Mar 22, 2024
- HNW RAUM · $177M to $168MOct 10, 2023 to Mar 22, 2024
- Individual RAUM · $100M to $85.2MOct 10, 2023 to Mar 22, 2024
Signals
2 dated events
- S•••• A••• M••••••••• left W•• F•••••••• for B•••••• R••• P•••••• W••••• (registered 2023-10-27)Oct 24, 2023 · a•••••• firm change · fact
- W•• F•••••••• reported RAUM $249.1M, up 78% from $140.0M (2019-10-21 to 2020-03-03)Mar 3, 2020 · RAUM change · derived
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 phone
- 760-692-5700reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/wwm-financialreportedpublic record, Form ADV, Sep 18, 2026
- Firm profile
- linkedin.com/company/savvy-women-wealth-managementreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H••••://WWW.SAVVYUP.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (760) 692-5190reportedpublic record, Form ADV, Apr 12, 2026
- Contact form
- savvyup.com/contactreportedpublished by the firm, firm site, Sep 16, 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
- $95.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026