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
A•• G••••• A•••••••
Legal name A••••• W••••• M••••••••• G••••• A•••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Nov 23, 2011 · 42 filings
SEC status approved since Oct 24, 2011
RAUM
$59.2M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
87%
$51.7M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$59.2M
derived; firm RAUM over IAPD count
Employees
4
3 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$59.2M as of Mar 31, 2026
Feb 1, 2012$105M then
HNW client RAUM$48.7M as of Mar 31, 2026
Feb 18, 2018$63.9M then
State-registered IARs (5.B.3)3 as of Mar 31, 2026
Feb 1, 20120 then
Employees (5.A)4 as of Mar 31, 2026
Feb 13, 20136 then
Private funds: no history
RAUM -35% over the last fiscal year-17% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 31, 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
- $59.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 66derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.5MderivedHNW RAUM over HNW clients
- Average account
- $497,113derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -35%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, 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
- High-net-worth individuals$48.7M82%
- Corporations and businesses$5.0M8.5%
- Individuals$3.0M5.1%
- Insurance companies$950,0001.6%
- Pension and profit-sharing plans$853,1311.4%
- Charitable organizations$663,4201.1%
- Individual clients
- 52reported
- HNW clients
- 14reported
- Pension plan clients
- 1reported
- Charitable clients
- 1reported
- Accounts
- 119reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.87 fund_share=0.0 institutional_share=0.04 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 |
|---|---|---|---|---|
| A•• H•••••• A••••• | San Diego, Ca | Sep 20, 2012 | 32 y | 2 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 100% of current headcount1 left over 36 months
Left, latest
- C•••••• N•••••• P••• to W•••• F•••• A•••••••Jan 6, 2026 · RIA to wirehouse
- A•••• R•••• to J••••• M••••••••• S•••• L••Feb 16, 2016 · Other
Joined, latest
- C•••••• N•••••• P••• from E••••• J••••May 2, 2022 · Affiliated broker-dealer or bank to independent RIA
- A•••• R•••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Sep 17, 2014 · Other
- A•• H•••••• A••••• from U•• F•••••••• S••••••• I•••Sep 20, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••• A••• H•••••• · Chief Executive Officercontrolsince 11/2011 · owns 75% or more
- M•••••• R••••• · Chief Compliance Officercontrolsince 05/2021 · owns less than 5%
Related persons
Schedule D 7.A
- A••••••• B••• A•• T••••n
- A••••••• W••••• M•••••••••investment advisern
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| San Diego, Ca · principal | 1 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
4 against comparable advisers; where to look, not conclusions
- client mix shiftChange between filings · filing Mar 31, 2026private-client share of RAUM moved from 58.0% to 87.0% between the annual amendments of 2025-03-31 and 2026-03-31peers: independent wealth managers, under $100M (707)
- RAUM down 25 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $90,545,310 to $59,156,389 (-35.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was +8.0% (220 comparable advisers, 10.0th percentile of changes)peers: independent wealth managers, under $100M (220) · 9.6% percentile
- institutional asset share shiftChange between filings · filing Mar 31, 2026institutional share of RAUM moved from 42.0% to 13.0% between the annual amendments of 2025-03-31 and 2026-03-31peers: independent wealth managers, under $100M (707)
- HNW share shiftChange between filings · filing Mar 31, 2026HNW share of RAUM moved from 41.0% to 82.0% between the annual amendments of 2025-03-31 and 2026-03-31peers: independent wealth managers, under $100M (707)
What changed
consecutive filings, newest first
- Accounts · 143 to 119Jan 6, 2026 to Mar 31, 2026
- Discretionary RAUM · $90.5M to $59.2MJan 6, 2026 to Mar 31, 2026
- HNW RAUM · $37.2M to $48.7MJan 6, 2026 to Mar 31, 2026
- Individual RAUM · $15.7M to $3.0MJan 6, 2026 to Mar 31, 2026
- RAUM · $90.5M to $59.2MJan 6, 2026 to Mar 31, 2026
- Financial planning clients · 1-10 to 1-10Mar 28, 2024 to Mar 31, 2025
- Discretionary RAUM · $90.9M to $90.5MMar 28, 2024 to Mar 31, 2025
- HNW RAUM · $37.2M to $37.2MMar 28, 2024 to Mar 31, 2025
- Individual RAUM · $15.8M to $15.7MMar 28, 2024 to Mar 31, 2025
- Pension RAUM · $853,313 to $853,131Mar 28, 2024 to Mar 31, 2025
- RAUM · $90.9M to $90.5MMar 28, 2024 to Mar 31, 2025
- Accounts · 301 to 143Mar 9, 2023 to Mar 21, 2024
- Advisory employees · 5 to 3Mar 9, 2023 to Mar 21, 2024
- Charity clients · 2 to 1Mar 9, 2023 to Mar 21, 2024
- Corporate clients · 6 to 4Mar 9, 2023 to Mar 21, 2024
- HNW clients · 22 to 14Mar 9, 2023 to Mar 21, 2024
- Individual clients · 71 to 52Mar 9, 2023 to Mar 21, 2024
- Pension plan clients · 8 to 1Mar 9, 2023 to Mar 21, 2024
- Assets in custody · 20726263.0 to unsetMar 9, 2023 to Mar 21, 2024
- Custody of client assets · true to falseMar 9, 2023 to Mar 21, 2024
- Employees · 5 to 4Mar 9, 2023 to Mar 21, 2024
- Discretionary RAUM · $103M to $90.9MMar 9, 2023 to Mar 21, 2024
- HNW RAUM · $58.9M to $37.2MMar 9, 2023 to Mar 21, 2024
- Individual RAUM · $17.9M to $15.8MMar 9, 2023 to Mar 21, 2024
- Pension RAUM · $2.4M to $853,313Mar 9, 2023 to Mar 21, 2024
- RAUM · $103M to $90.9MMar 9, 2023 to Mar 21, 2024
- Accounts · 303 to 301Mar 25, 2022 to Mar 9, 2023
- Advisory employees · 4 to 5Mar 25, 2022 to Mar 9, 2023
- HNW clients · 24 to 22Mar 25, 2022 to Mar 9, 2023
- Individual clients · 66 to 71Mar 25, 2022 to Mar 9, 2023
- Pension plan clients · 6 to 8Mar 25, 2022 to Mar 9, 2023
- Assets in custody · $21.5M to $20.7MMar 25, 2022 to Mar 9, 2023
- Employees · 4 to 5Mar 25, 2022 to Mar 9, 2023
- State-registered IARs · 2 to 3Mar 25, 2022 to Mar 9, 2023
- Discretionary RAUM · $104M to $103MMar 25, 2022 to Mar 9, 2023
- HNW RAUM · $45.8M to $58.9MMar 25, 2022 to Mar 9, 2023
- Individual RAUM · $19.0M to $17.9MMar 25, 2022 to Mar 9, 2023
- Pension RAUM · $5.5M to $2.4MMar 25, 2022 to Mar 9, 2023
- RAUM · $104M to $103MMar 25, 2022 to Mar 9, 2023
- Accounts · 343 to 303Jul 9, 2021 to Mar 24, 2022
Signals
3 dated events
- C•••••• N•••••• P••• left A•• G••••• A••••••• for W•••• F•••• A••••••• (registered 2026-02-19)Jan 6, 2026 · Advisor changed firm · fact
- Stephen Gary Graessle (Chief Compliance Officer) no longer on Schedule A of A•• G••••• A••••••• (listed 2021-05-18, absent 2021-06-01)Jun 1, 2021 · Control person left · inference
- Roxana Mcgrew (Chief Compliance Officer) appeared on Schedule A of A•• G••••• A•••••••Jun 1, 2021 · Control person joined · 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
- Firm profile
- linkedin.com/company/awm-global-advisorsreportedpublic record, Form ADV, Sep 19, 2026
- Website
- AWMGA.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 619-225-7600reportedpublic record, Form ADV, Mar 31, 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
- $59.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026