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•••••• W••••• M••••••••• L•
Latest filing Mar 27, 2026
First filing on the tape Aug 14, 2014 · 32 filings
SEC status approved since Oct 23, 2015
RAUM
$627M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
100%
$627M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$89.6M
derived; firm RAUM over IAPD count
Employees
6
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$627M as of Mar 27, 2026
Feb 11, 2016$131M then
HNW client RAUM$627M as of Mar 27, 2026
Mar 12, 2018$207M then
State-registered IARs (5.B.3)6 as of Mar 27, 2026
Feb 11, 20163 then
Employees (5.A)6 as of Mar 27, 2026
Feb 11, 20163 then
Private funds: no history
RAUM +16% over the last fiscal year+17% a year over threeIARs 6 to 6
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $89.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $11.8MderivedHNW RAUM over HNW clients
- Average account
- $1.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 93%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.9derivedItem 5.A over advisors
- Advisors per office
- 7.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%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
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $338M, 13 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$627M100%
- Individual clients
- n/areported
- HNW clients
- 53reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 432reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $338M for 13 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| G••• L•••• D••••••• | Santa Barbara, Ca | Nov 24, 2014 | 36 y | 2 |
| R••• G•••• D• B•••••Chartered Financial Analyst | Santa Barbara, Ca | Dec 1, 2014 | 20 y | 2 |
| A••• D••••• S••••••Certified Financial Planner | Santa Barbara, Ca | Dec 9, 2014 | 22 y | 2 |
| C••• A••••• B••• | Santa Barbara, Ca | Dec 15, 2016 | 11 y | 0 |
| L••• F•••••••••Certified Financial Planner | Santa Barbara, Ca | Dec 6, 2022 | 12 y | 0 |
| G•••••••• H••••••• | Santa Barbara, Ca | Nov 25, 2024 | 12 y | 0 |
| M•••••• D•••• K••••• | Santa Barbara, Ca | Aug 14, 2026 | 11 y | 0 |
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
- A••• D••••• S•••••• from M••••• G••••• A••••••• I•••Dec 9, 2014 · Other
- R••• G•••• D• B••••• from M••••• G••••• A••••••• I•••Dec 1, 2014 · Other
- G••• L•••• D••••••• from M••••• G••••• A••••••• I•••Nov 24, 2014 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••••• G•••• L•••• · Chief Compliance Officercontrolsince 09/2014 · owns less than 5%
- D•••••••• G•••• L•••• · Trusteecontrolsince 05/2008 · owns 75% or more of D••••••• F••••• T••••
Entity owners
- D••••••• F••••• T•••• · Managing Memberdirect · 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 |
|---|---|---|---|---|---|
| Santa Barbara, Ca · principal | 7 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 418 to 432Nov 19, 2025 to Mar 27, 2026
- HNW clients · 50 to 53Nov 19, 2025 to Mar 27, 2026
- Assets in custody · $267M to $338MNov 19, 2025 to Mar 27, 2026
- Financial planning clients · 11-25 to 0Nov 19, 2025 to Mar 27, 2026
- Discretionary RAUM · $508M to $584MNov 19, 2025 to Mar 27, 2026
- HNW RAUM · $539M to $627MNov 19, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $31.6M to $43.1MNov 19, 2025 to Mar 27, 2026
- RAUM · $539M to $627MNov 19, 2025 to Mar 27, 2026
- Accounts · 407 to 418Mar 29, 2024 to Mar 14, 2025
- HNW clients · 44 to 50Mar 29, 2024 to Mar 14, 2025
- Assets in custody · $37.0M to $267MMar 29, 2024 to Mar 14, 2025
- Financial planning clients · 11-25 to 11-25Mar 29, 2024 to Mar 14, 2025
- Discretionary RAUM · $416M to $508MMar 29, 2024 to Mar 14, 2025
- HNW RAUM · $446M to $539MMar 29, 2024 to Mar 14, 2025
- Non-discretionary RAUM · $29.7M to $31.6MMar 29, 2024 to Mar 14, 2025
- RAUM · $446M to $539MMar 29, 2024 to Mar 14, 2025
- Accounts · 369 to 407Apr 20, 2023 to Mar 29, 2024
- HNW clients · 45 to 44Apr 20, 2023 to Mar 29, 2024
- Assets in custody · $60.7M to $37.0MApr 20, 2023 to Mar 29, 2024
- Financial planning clients · 0 to 11-25Apr 20, 2023 to Mar 29, 2024
- Discretionary RAUM · $390M to $416MApr 20, 2023 to Mar 29, 2024
- HNW RAUM · $395M to $446MApr 20, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $5.0M to $29.7MApr 20, 2023 to Mar 29, 2024
- RAUM · $395M to $446MApr 20, 2023 to Mar 29, 2024
- Accounts · 358 to 369Nov 15, 2022 to Mar 29, 2023
- Advisory employees · 5 to 6Nov 15, 2022 to Mar 29, 2023
- HNW clients · 49 to 45Nov 15, 2022 to Mar 29, 2023
- Pension plan clients · 6.0 to unsetNov 15, 2022 to Mar 29, 2023
- Assets in custody · $25.0M to $60.7MNov 15, 2022 to Mar 29, 2023
- Employees · 5 to 6Nov 15, 2022 to Mar 29, 2023
- State-registered IARs · 5 to 6Nov 15, 2022 to Mar 29, 2023
- Discretionary RAUM · $429M to $390MNov 15, 2022 to Mar 29, 2023
- HNW RAUM · $418M to $395MNov 15, 2022 to Mar 29, 2023
- Non-discretionary RAUM · $20.5M to $5.0MNov 15, 2022 to Mar 29, 2023
- Pension RAUM · 32300000.0 to unsetNov 15, 2022 to Mar 29, 2023
- RAUM · $450M to $395MNov 15, 2022 to Mar 29, 2023
- Accounts · 299 to 358Mar 31, 2021 to Mar 29, 2022
- Advisory activities · 3 to 2Mar 31, 2021 to Mar 29, 2022
- HNW clients · 46 to 49Mar 31, 2021 to Mar 29, 2022
- Pension plan clients · unset to 6.0Mar 31, 2021 to Mar 29, 2022
Signals
3 dated events
- A•••••• W••••• M••••••••• L• reported RAUM $449.8M, up 57% from $286.8M (2021-03-31 to 2022-03-29)Mar 29, 2022 · RAUM change · derived
- A•••••• W••••• M••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Mar 12, 2018 · Succession (Item 4) · fact
- A•••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Aug 14, 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.
How to reach
public business contact points only, each with its source
- Business phone
- 844-274-2363reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/A••••••-WEALTH-MANAGEMENTreportedpublic record, Form ADV, Sep 18, 2026
- Website
- A••••••WEALTH.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 805-456-4920reportedpublic record, Form ADV, Mar 27, 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
- $89.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026