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.

SEC-registered adviser

Wealth Teams Alliance

Independent wealth managerIrvine, CaliforniaCRD 168907SEC 801-122977websiteIAPD
Legal name Wealth Teams Alliance Inc.
Latest filing Sep 16, 2026
First filing on the tape Dec 3, 2021 · 12 filings
SEC status approved since Jan 3, 2022
RAUM
$224M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$216M individuals and HNW
Advisors
12
registered through the firm on IAPD
RAUM per advisor
$18.7M
derived; firm RAUM over IAPD count
Employees
27
12 advisory (5.B.1)
Offices
7
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$224M as of Mar 31, 2026
Apr 1, 2022$247M then
HNW client RAUM$65.0M as of Mar 31, 2026
Apr 1, 2022$43.0M then
State-registered IARs (5.B.3)12 as of Mar 31, 2026
Apr 1, 202213 then
Employees (5.A)27 as of Mar 31, 2026
Apr 1, 202225 then
Private funds: no history
RAUM +8.9% over the last fiscal year+12% a year over threeIARs 10 to 12offices 5 to 7
Practice profile
derived from the filing of Sep 16, 2026; every figure names its basis
Archetypes, each a printed rule
  • Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
RAUM per advisor
$18.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
68derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.3MderivedHNW RAUM over HNW clients
Average account
$227,298derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
3.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.3derivedItem 5.A over advisors
Advisors per office
1.5derived8 offices incl. principal (1.F.5)
RAUM growth, one year
+8.9%derivedbetween the last two annual amendments
Advisor growth, one year
+20%derivedItem 5.B.3 between annual amendments
Client growth, one year
+4.1%derived
Compensation
percentage of assets, hourly, fixed fees, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, publications, educational seminars, otherreportedItem 5.G
Wrap fee program
$71.8MreportedItem 5.I
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
  • Individuals$151M68%
  • High-net-worth individuals$65.0M29%
  • Charitable organizations$7.5M3.3%
Individual clients
760reported
HNW clients
52reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
985reported
Financial planning clients
1-10reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
11 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Dane Andrew PetchulBluffton, Sc Oct 15, 201512 y1
Shannon Jason BlackIrvine, Ca Aug 19, 201622 y0
Guy Eugene BakerCertified Financial Planner, Chartered Financial ConsultantIrvine, CaJan 25, 201747 y5
Joshua OronceIrvine, CaJul 30, 202112 y2
Keith ConleyCertified Financial PlannerIrvine, CaJan 3, 202413 y1
Michael Dean TaylorCorbett, Or Dec 5, 202441 y7
Timothy Edward LatimerIrvine, CaJan 1, 202511 y0
Jonathon Paul SoucierIrvine, Ca Jan 1, 202516 y4
Andrea ZilliChartered Financial AnalystIrvine, Ca Apr 24, 202519 y4
Jae Seon LeeRancho Palos Verdes, CaOct 6, 202518 y2
Michael Francis AlongiIrvine, Ca Jan 5, 202616 y2
Advisor movement
1 left, 1 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 8.3% of current headcount1 left over 36 months
Left, latest
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
    • Eugene Guy Baker · Managing Membercontrol
      since 12/2016 · owns 75% or more
    • Edwin Gary Million · Chief Compliance Officercontrol
      since 01/2017 · owns less than 5%
    Related persons
    Schedule D 7.A
    • Associates In Insurance Concept Services, Inc.
      real estaten
    • Baker Mountford Insurance Services
      real estatey
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Irvine, Ca · principal1020
    Burnsville, Mn001
    Offices
    Schedule D 1.F, the 25 largest
    • Bluffton, SC1 employees
    • Ontario, CA1 employees
    • Wichita, KS1 employees
    • , 1 employees
    What changed
    consecutive filings, newest first
    • Advisory activities · 4 to 5
      Mar 31, 2026 to Sep 16, 2026
    • Financial planning clients · 1-10 to 1-10
      Mar 31, 2026 to Sep 16, 2026
    • Succession · false to unset
      Mar 31, 2026 to Sep 16, 2026
    • Accounts · 950 to 985
      Mar 29, 2025 to Mar 31, 2026
    • Advisory employees · 10 to 12
      Mar 29, 2025 to Mar 31, 2026
    • BD registered reps · 2 to 1
      Mar 29, 2025 to Mar 31, 2026
    • HNW clients · 50 to 52
      Mar 29, 2025 to Mar 31, 2026
    • Individual clients · 730 to 760
      Mar 29, 2025 to Mar 31, 2026
    • Employees · 26 to 27
      Mar 29, 2025 to Mar 31, 2026
    • Insurance-licensed employees · 0 to 2
      Mar 29, 2025 to Mar 31, 2026
    • State-registered IARs · 10 to 12
      Mar 29, 2025 to Mar 31, 2026
    • Other offices · 5 to 7
      Mar 29, 2025 to Mar 31, 2026
    • Discretionary RAUM · $206M to $224M
      Mar 29, 2025 to Mar 31, 2026
    • HNW RAUM · $60.0M to $65.0M
      Mar 29, 2025 to Mar 31, 2026
    • Individual RAUM · $138M to $151M
      Mar 29, 2025 to Mar 31, 2026
    • RAUM · $206M to $224M
      Mar 29, 2025 to Mar 31, 2026
    • Related adviser · false to true
      Mar 29, 2025 to Mar 31, 2026
    • Accounts · 912 to 950
      Dec 2, 2024 to Mar 29, 2025
    • Charity clients · 7.0 to unset
      Dec 2, 2024 to Mar 29, 2025
    • HNW clients · 45 to 50
      Dec 2, 2024 to Mar 29, 2025
    • Individual clients · 710 to 730
      Dec 2, 2024 to Mar 29, 2025
    • Pension plan clients · 12.0 to unset
      Dec 2, 2024 to Mar 29, 2025
    • Financial planning clients · 1-10 to 1-10
      Dec 2, 2024 to Mar 29, 2025
    • State-registered IARs · 8 to 10
      Dec 2, 2024 to Mar 29, 2025
    • Other offices · 8 to 5
      Dec 2, 2024 to Mar 29, 2025
    • Discretionary RAUM · $199M to $206M
      Dec 2, 2024 to Mar 29, 2025
    • HNW RAUM · $55.0M to $60.0M
      Dec 2, 2024 to Mar 29, 2025
    • Individual RAUM · $126M to $138M
      Dec 2, 2024 to Mar 29, 2025
    • Pension RAUM · 11524346.0 to unset
      Dec 2, 2024 to Mar 29, 2025
    • RAUM · $199M to $206M
      Dec 2, 2024 to Mar 29, 2025
    • Accounts · 875 to 912
      Dec 6, 2023 to Mar 29, 2024
    • Advisory employees · 12 to 10
      Dec 6, 2023 to Mar 29, 2024
    • BD registered reps · 0 to 2
      Dec 6, 2023 to Mar 29, 2024
    • HNW clients · 40 to 45
      Dec 6, 2023 to Mar 29, 2024
    • Individual clients · 655 to 710
      Dec 6, 2023 to Mar 29, 2024
    • Pension plan clients · unset to 12.0
      Dec 6, 2023 to Mar 29, 2024
    • Employees · 13 to 26
      Dec 6, 2023 to Mar 29, 2024
    • State-registered IARs · 13 to 8
      Dec 6, 2023 to Mar 29, 2024
    • Discretionary RAUM · $159M to $199M
      Dec 6, 2023 to Mar 29, 2024
    • HNW RAUM · $49.0M to $55.0M
      Dec 6, 2023 to Mar 29, 2024
    Signals
    3 dated events
    • Aaron Robert Harwood left Wealth Teams Alliance for Great Valley Advisor Group, Llc (registered 2025-11-07)
      Nov 6, 2025 · Advisor changed firm · fact
    • Wealth Teams Alliance reported RAUM $158.9M, down 43% from $277.6M (2022-12-22 to 2023-03-31)
      Mar 31, 2023 · RAUM change · derived
    • Wealth Teams Alliance filed its initial SEC registration (Form ADV)
      Dec 3, 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
    Business email
    info@wealth-teams.comreportedpublished by the firm, firm site, Sep 16, 2026
    Business phone
    877-282-4768reportedpublished by the firm, firm site, Sep 16, 2026
    Website
    wealth-teams.comreportedpublic record, Form ADV, Sep 17, 2026
    Principal office phone
    877-282-4768reportedpublic record, Form ADV, Sep 16, 2026
    Contact form
    wealth-teams.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
    Team page
    wealth-teams.com/teamreportedpublished 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
    $18.7Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026