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•••• M••••••••• A•• ••• W••••• M•••••••••
Legal name A•••• L••
Latest filing Mar 31, 2026
First filing on the tape May 31, 2012 · 31 filings
SEC status approved since Apr 24, 2017
RAUM
$393M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
82%
$322M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$98.3M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$393M as of Mar 31, 2026
Mar 29, 2018$146M then
HNW client RAUM$288M as of Mar 31, 2026
Mar 29, 2018$54.8M then
State-registered IARs (5.B.3)4 as of Mar 31, 2026
Mar 29, 20187 then
Employees (5.A)5 as of Mar 31, 2026
Mar 29, 20187 then
Private funds: no history
RAUM +22% over the last fiscal year+24% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- 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
- $98.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 57derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $599,674derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 12%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 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
- -0.4%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$288M78%
- Pension and profit-sharing plans$45.8M12%
- Individuals$34.3M9.3%
- Individual clients
- 114reported
- HNW clients
- 114reported
- Pension plan clients
- 19reported
- Charitable clients
- n/areported
- Accounts
- 656reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.82 fund_share=0.0 institutional_share=0.12 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••••••••• A••• T•••Certified Financial Planner | Rancho Santa Fe, Ca | Oct 16, 2012 | 26 y | 3 |
| D••••• C•••• O••••• | Rancho Santa Fe, Ca | Oct 16, 2012 | 30 y | 4 |
| T•••••• J•••• S••••••••Certified Financial Planner | Rancho Santa Fe, Ca | Jan 1, 2025 | 24 y | 4 |
| L••••••• E••••• P•••• | Rancho Santa Fe, Ca | Jan 1, 2026 | 28 y | 5 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- T••••• W•••••• H••••• to A•••••• W••••• L•Sep 24, 2020 · RIA to RIA
- D••••• L•••• D••••••••• to L•••••• S•••••••• A•••••••Jun 28, 2019 · RIA TO ST••• RIA
- K•••• S••••• W••• to L•••••• A•••• M•••••••••Dec 31, 2017 · Other
- S•••• W•••• W•••••• to P•• S••••••• C•••••• M••••••••• L••Sep 16, 2015 · Other
Joined, latest
- L••••••• E••••• P•••• from M••••• S••••••Jan 1, 2026 · Wirehouse to independent RIA
- T•••••• J•••• S•••••••• from A••••••• P••••••• A•••••••• L••Jan 1, 2025 · Other
- T••••• W•••••• H••••• from F••••••• P••••••• A•• W•••••••• A•••••••Jul 15, 2020 · Affiliated broker-dealer or bank to independent RIA
- D••••• L•••• D••••••••• from A••••••• P••••••• A•••••••• L••Aug 28, 2014 · Other
- D••••• C•••• O••••• from A••••••• P••••••• A•••••••• L••Oct 16, 2012 · Other
- C••••••••• A••• T••• from A••••••• P••••••• A•••••••• L••Oct 16, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- T•••• C••••••••• A••• · Managing Partner/Ccocontrolsince 05/2012 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Rancho Santa Fe, Ca · principal | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Rancho Santa Fe, CA1 employees
What changed
consecutive filings, newest first
- Accounts · 624 to 656Mar 18, 2025 to Mar 31, 2026
- HNW clients · 112 to 114Mar 18, 2025 to Mar 31, 2026
- Individual clients · 117 to 114Mar 18, 2025 to Mar 31, 2026
- Pension plan clients · 16 to 19Mar 18, 2025 to Mar 31, 2026
- Financial planning clients · 0 to 11-25Mar 18, 2025 to Mar 31, 2026
- Discretionary RAUM · $323M to $387MMar 18, 2025 to Mar 31, 2026
- HNW RAUM · $256M to $288MMar 18, 2025 to Mar 31, 2026
- Individual RAUM · $31.6M to $34.3MMar 18, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $0 to $6.4MMar 18, 2025 to Mar 31, 2026
- Pension RAUM · $35.9M to $45.8MMar 18, 2025 to Mar 31, 2026
- RAUM · $323M to $393MMar 18, 2025 to Mar 31, 2026
- Accounts · 652 to 624Apr 26, 2024 to Mar 18, 2025
- Advisory employees · 5 to 4Apr 26, 2024 to Mar 18, 2025
- HNW clients · 88 to 112Apr 26, 2024 to Mar 18, 2025
- Individual clients · 150 to 117Apr 26, 2024 to Mar 18, 2025
- Pension plan clients · 3 to 16Apr 26, 2024 to Mar 18, 2025
- Financial planning clients · 0 to 0Apr 26, 2024 to Mar 18, 2025
- State-registered IARs · 5 to 4Apr 26, 2024 to Mar 18, 2025
- Other offices · 1 to 0Apr 26, 2024 to Mar 18, 2025
- Discretionary RAUM · $274M to $323MApr 26, 2024 to Mar 18, 2025
- HNW RAUM · $183M to $256MApr 26, 2024 to Mar 18, 2025
- Individual RAUM · $61.1M to $31.6MApr 26, 2024 to Mar 18, 2025
- Pension RAUM · $30.5M to $35.9MApr 26, 2024 to Mar 18, 2025
- RAUM · $274M to $323MApr 26, 2024 to Mar 18, 2025
- Other offices · 0 to 1Mar 7, 2024 to Apr 26, 2024
- Accounts · 568 to 652Oct 20, 2023 to Mar 7, 2024
- HNW clients · 61 to 88Oct 20, 2023 to Mar 7, 2024
- Individual clients · 154 to 150Oct 20, 2023 to Mar 7, 2024
- Other offices · 1 to 0Oct 20, 2023 to Mar 7, 2024
- Discretionary RAUM · $207M to $274MOct 20, 2023 to Mar 7, 2024
- HNW RAUM · $151M to $183MOct 20, 2023 to Mar 7, 2024
- Individual RAUM · $41.9M to $61.1MOct 20, 2023 to Mar 7, 2024
- Pension RAUM · $13.7M to $30.5MOct 20, 2023 to Mar 7, 2024
- RAUM · $207M to $274MOct 20, 2023 to Mar 7, 2024
- Accounts · 549 to 568Mar 28, 2022 to Mar 17, 2023
- HNW clients · 52 to 61Mar 28, 2022 to Mar 17, 2023
- Individual clients · 152 to 154Mar 28, 2022 to Mar 17, 2023
- Discretionary RAUM · $221M to $207MMar 28, 2022 to Mar 17, 2023
- HNW RAUM · $156M to $151MMar 28, 2022 to Mar 17, 2023
- Individual RAUM · $44.8M to $41.9MMar 28, 2022 to Mar 17, 2023
Signals
1 dated events
- •••• A•••• M••••••••• A•• ••• W••••• M••••••••• filed its initial SEC registration (Form ADV)Mar 31, 2017 · 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 phone
- 619-200-7418reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 877-449-3258reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- pro-visionwealth.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 888-500-9267reportedpublic record, Form ADV, Mar 31, 2026
- Contact form
- pro-visionwealth.com/contact-usreportedpublished by the firm, firm site, Sep 17, 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
- $98.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026