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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Former SEC-registered adviser
N••••••••• M••••••••• I••••••••• A••••••• L••
Latest filing Jan 6, 2026
First filing on the tape Jan 17, 2021 · 13 filings
SEC status approved since Feb 16, 2021
RAUM
$138M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
74%
$102M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$34.4M
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$138M as of Jan 6, 2026
Mar 28, 2022$135M then
HNW client RAUM$102M as of Jan 6, 2026
Mar 28, 2022$92.9M then
State-registered IARs (5.B.3)2 as of Jan 6, 2026
Mar 28, 20222 then
Employees (5.A)5 as of Jan 6, 2026
Mar 28, 20225 then
Private funds: no history
RAUM +0.0% over the last fiscal year+4.7% a year over threeIARs 2 to 2offices 0 to 1
Practice profile
derived from the filing of Jan 6, 2026; every figure names its basis
- RAUM per advisor
- $34.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.3MderivedHNW RAUM over HNW clients
- Average account
- $1.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 26%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +0.0%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 individuals, portfolio management for businesses and institutionsreportedItem 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$102M74%
- Charitable organizations$26.0M19%
- Pension and profit-sharing plans$9.1M6.6%
- Individual clients
- n/areported
- HNW clients
- 78reported
- Pension plan clients
- 4reported
- Charitable clients
- 5reported
- Accounts
- 87reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••• W••••• N••••••••• | Newport Beach, Ca | Apr 27, 2026 | 45 y | 6 |
| P•••• T••••• P•••• | Newport Beach, Ca | Jun 12, 2026 | 25 y | 1 |
| M•••••• F••••••• H••••••• | Newport Beach, Ca | Jun 12, 2026 | 20 y | 4 |
| B•••• W••••• N••••••••• | Newport Beach, Ca | Jun 12, 2026 | 10 y | 1 |
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
none on the tape
Joined, latest
- M•••••• F••••••• H••••••• from M••••••••• • A••••••••• L••Sep 27, 2022 · Other
- B•••• W••••• N••••••••• from T••••••••• L••Nov 30, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- N••••••••• B••••• W••••• · Managing Membercontrolsince 10/2020 · owns 50% to 75%
- W••••••• L•••• A••• · Membercontrolsince 10/2020 · owns 25% to 50%
- B••••••••• H••••••• T••••••• · Membersince 10/2012 · owns 5% to 10%
- F••••••• A•••••• E••••• · Membersince 10/2012 · owns less than 5%
- H•••••••• M••••••• F••••••• · Ccosince 01/2021 · owns less than 5%
- H•••• R•••••• E•••• · Membersince 11/2020 · owns less than 5%
- M•••••••• G•••••• R••••••• · Membersince 10/2020 · owns less than 5%
- N••••••••• B•••••• J•••••• · Membersince 10/2020 · owns less than 5%
- P••••• P••••• T••••• · Associate Chief Compliance Officesince 01/2021 · owns less than 5%
- S•••••• L•••••••• I••••• · Membersince 10/2012 · owns less than 5%
- S•••••• R•••• C•••••••• · Membersince 10/2020 · owns less than 5%
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 |
|---|---|---|---|---|---|
| Newport Beach, Ca · principal | 4 | 4 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- HQ city · SAUSALITO to NEWPORT BEACHDec 19, 2025 to Jan 6, 2026
- HQ city · MILL VALLEY to SAUSALITOSep 30, 2025 to Dec 19, 2025
- Financial planning clients · 0 to 0Jun 12, 2025 to Sep 30, 2025
- Other offices · 0 to 1Mar 12, 2025 to Jun 12, 2025
- Accounts · 86 to 87Feb 14, 2024 to Mar 12, 2025
- HNW clients · 75 to 78Feb 14, 2024 to Mar 12, 2025
- Pension plan clients · 6 to 4Feb 14, 2024 to Mar 12, 2025
- Discretionary RAUM · $120M to $138MFeb 14, 2024 to Mar 12, 2025
- HNW RAUM · $82.3M to $102MFeb 14, 2024 to Mar 12, 2025
- Pension RAUM · $13.6M to $9.1MFeb 14, 2024 to Mar 12, 2025
- RAUM · $120M to $138MFeb 14, 2024 to Mar 12, 2025
- Accounts · 84 to 86Mar 14, 2023 to Feb 8, 2024
- HNW clients · 73 to 75Mar 14, 2023 to Feb 8, 2024
- Discretionary RAUM · $120M to $120MMar 14, 2023 to Feb 8, 2024
- HNW RAUM · $81.4M to $82.3MMar 14, 2023 to Feb 8, 2024
- Pension RAUM · $13.2M to $13.6MMar 14, 2023 to Feb 8, 2024
- RAUM · $120M to $120MMar 14, 2023 to Feb 8, 2024
- Accounts · 72 to 84Mar 28, 2022 to Mar 14, 2023
- Charity clients · 7 to 5Mar 28, 2022 to Mar 14, 2023
- HNW clients · 59 to 73Mar 28, 2022 to Mar 14, 2023
- Discretionary RAUM · $135M to $120MMar 28, 2022 to Mar 14, 2023
- HNW RAUM · $92.9M to $81.4MMar 28, 2022 to Mar 14, 2023
- Pension RAUM · $14.3M to $13.2MMar 28, 2022 to Mar 14, 2023
- RAUM · $135M to $120MMar 28, 2022 to Mar 14, 2023
- Accounts · 94 to 72Aug 26, 2021 to Mar 28, 2022
- Charity clients · 8 to 7Aug 26, 2021 to Mar 28, 2022
- HNW clients · 79 to 59Aug 26, 2021 to Mar 28, 2022
- Pension plan clients · 7 to 6Aug 26, 2021 to Mar 28, 2022
- State-registered IARs · 1 to 2Aug 26, 2021 to Mar 28, 2022
- Discretionary RAUM · $122M to $135MAug 26, 2021 to Mar 28, 2022
- HNW RAUM · $86.0M to $92.9MAug 26, 2021 to Mar 28, 2022
- Pension RAUM · $12.4M to $14.3MAug 26, 2021 to Mar 28, 2022
- RAUM · $122M to $135MAug 26, 2021 to Mar 28, 2022
Signals
2 dated events
- N••••••••• M••••••••• I••••••••• A••••••• L•• no longer on the SEC adviser roster (last listed 2026-03-02, RAUM $137.6M)Apr 1, 2026 · Left the SEC roster · derived
- N••••••••• M••••••••• I••••••••• A••••••• L•• filed its initial SEC registration (Form ADV)Jan 17, 2021 · 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
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $34.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026