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.

Former SEC-registered adviser

Garcia Wealth Management Group, Inc.

Former SEC-registered adviserTempleton, CaliforniaCRD 158082SEC 801-79445IAPD
Latest filing Mar 5, 2021
First filing on the tape Mar 20, 2014 · 18 filings
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$393M as of Mar 30, 2020
Mar 5, 2015$177M then
HNW client RAUM$126M as of Mar 30, 2020
Mar 29, 2018$87.1M then
State-registered IARs (5.B.3)3 as of Mar 30, 2020
Mar 5, 20153 then
Employees (5.A)7 as of Mar 30, 2020
Mar 5, 20156 then
Private funds: no history
RAUM -100% over the last fiscal yearIARs 3 to 4
Practice profile
derived from the filing of Mar 5, 2021; every figure names its basis
RAUM per advisor
$0derivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.8derivedItem 5.A over advisors
Advisors per office
2.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+22%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+6.4%derived
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
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
0reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Alan Robert Garcia · President And Chief Compliance Officercontrol
      since 01/2015 · owns less than 5%
    • Alan Robert Garcia · Trustee Of Rob A Garcia & Deborah L Donnelly Living Trustcontrol
      since 01/2015 · owns F of Rob A Garcia & Deborah L Donnelly Living Trust
    Entity owners
    • Rob A Garcia & Deborah L Donnelly Living Trust · Owner
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • San Luis Obispo, CA1 employees
    What changed
    consecutive filings, newest first
    • Accounts · 819 to 0
      Dec 24, 2020 to Mar 5, 2021
    • Charity clients · 4 to 0
      Dec 24, 2020 to Mar 5, 2021
    • HNW clients · 84 to 0
      Dec 24, 2020 to Mar 5, 2021
    • Individual clients · 164 to 0
      Dec 24, 2020 to Mar 5, 2021
    • Pension plan clients · 102 to 0
      Dec 24, 2020 to Mar 5, 2021
    • Assets in custody · 324860.0 to unset
      Dec 24, 2020 to Mar 5, 2021
    • Custody of client assets · true to false
      Dec 24, 2020 to Mar 5, 2021
    • Discretionary RAUM · $348M to $0
      Dec 24, 2020 to Mar 5, 2021
    • HNW RAUM · $126M to $0
      Dec 24, 2020 to Mar 5, 2021
    • Individual RAUM · $52.2M to $0
      Dec 24, 2020 to Mar 5, 2021
    • Non-discretionary RAUM · $45.1M to $0
      Dec 24, 2020 to Mar 5, 2021
    • Pension RAUM · $212M to $0
      Dec 24, 2020 to Mar 5, 2021
    • RAUM · $393M to $0
      Dec 24, 2020 to Mar 5, 2021
    • Advisory employees · 3 to 4
      Jun 22, 2020 to Dec 24, 2020
    • State-registered IARs · 3 to 4
      Jun 22, 2020 to Dec 24, 2020
    • Accounts · 814 to 819
      Mar 18, 2020 to Mar 30, 2020
    • Charity clients · unset to 4.0
      Mar 18, 2020 to Mar 30, 2020
    • Corporate clients · unset to 0.0
      Mar 18, 2020 to Mar 30, 2020
    • HNW clients · 69 to 84
      Mar 18, 2020 to Mar 30, 2020
    • Pension plan clients · 94 to 102
      Mar 18, 2020 to Mar 30, 2020
    • Pooled vehicle clients · unset to 0.0
      Mar 18, 2020 to Mar 30, 2020
    • Assets in custody · $75,717 to $324,860
      Mar 18, 2020 to Mar 30, 2020
    • Financial planning clients · 51-100 to 101-250
      Mar 18, 2020 to Mar 30, 2020
    • Discretionary RAUM · $279M to $348M
      Mar 18, 2020 to Mar 30, 2020
    • HNW RAUM · $93.3M to $126M
      Mar 18, 2020 to Mar 30, 2020
    • Individual RAUM · $49.9M to $52.2M
      Mar 18, 2020 to Mar 30, 2020
    • Non-discretionary RAUM · $44.2M to $45.1M
      Mar 18, 2020 to Mar 30, 2020
    • Pension RAUM · $176M to $212M
      Mar 18, 2020 to Mar 30, 2020
    • Pooled vehicle RAUM · unset to 0.0
      Mar 18, 2020 to Mar 30, 2020
    • RAUM · $323M to $393M
      Mar 18, 2020 to Mar 30, 2020
    • Accounts · 712 to 814
      Apr 25, 2018 to Mar 29, 2019
    • HNW clients · 66 to 69
      Apr 25, 2018 to Mar 29, 2019
    • Individual clients · 161 to 164
      Apr 25, 2018 to Mar 29, 2019
    • Pension plan clients · 65 to 94
      Apr 25, 2018 to Mar 29, 2019
    • Assets in custody · $1.6M to $75,717
      Apr 25, 2018 to Mar 29, 2019
    • Financial planning clients · 26-50 to 51-100
      Apr 25, 2018 to Mar 29, 2019
    • Discretionary RAUM · $240M to $279M
      Apr 25, 2018 to Mar 29, 2019
    • HNW RAUM · $87.1M to $93.3M
      Apr 25, 2018 to Mar 29, 2019
    • Individual RAUM · $46.2M to $49.9M
      Apr 25, 2018 to Mar 29, 2019
    • Non-discretionary RAUM · $61.0M to $44.2M
      Apr 25, 2018 to Mar 29, 2019
    Signals
    3 dated events
    • Garcia Wealth Management Group, Inc. reported RAUM $0, down 100% from $393.4M (2020-12-24 to 2021-03-05)
      Mar 5, 2021 · RAUM change · derived
    • Garcia Wealth Management Group reported succeeding to the business of Another Adviser (Form ADV Item 4)
      Mar 5, 2015 · Succession (Item 4) · fact
    • Garcia Wealth Management Group filed its initial SEC registration (Form ADV)
      Mar 20, 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.
    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