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
C•••••• L••••• I•••••••••
Legal name C•••••• L••••• I••••••••• L••
Latest filing Feb 10, 2026
First filing on the tape Apr 1, 2017 · 17 filings
SEC status approved since Apr 24, 2017
RAUM
$256M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$256M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$128M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$256M as of Feb 10, 2026
Mar 29, 2018$131M then
HNW client RAUM: $130M
State-registered IARs (5.B.3)4 as of Feb 10, 2026
Mar 29, 20182 then
Employees (5.A)4 as of Feb 10, 2026
Mar 29, 20182 then
Private funds: no history
RAUM +8.9% over the last fiscal year+23% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Feb 10, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $128MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $644,836derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.9%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
- 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
- Individuals$256M100%
- Individual clients
- 220reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 397reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| W•••••• E•••• L••••• | Walnut Creek, Ca | Nov 13, 2014 | 22 y | 6 |
| C•••• C•••••• C•••••• | Walnut Creek, Ca | Jan 2, 2025 | 23 y | 3 |
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
- C•••• C•••••• C•••••• from C•••••• W••••• M•••••••••Jan 2, 2025 · Other
- W•••••• E•••• L••••• from C•••••• W••••• M•••••••••Nov 13, 2014 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••• C••••• C•••••• · Managing Membercontrolsince 09/2014 · owns 50% to 75%
- L•••••• W••••••• E•••• · Managing Member, Ccocontrolsince 09/2014 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Walnut Creek, Ca · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 325 to 397Mar 27, 2025 to Feb 10, 2026
- Individual clients · 207 to 220Mar 27, 2025 to Feb 10, 2026
- Discretionary RAUM · $235M to $256MMar 27, 2025 to Feb 10, 2026
- Individual RAUM · $235M to $256MMar 27, 2025 to Feb 10, 2026
- RAUM · $235M to $256MMar 27, 2025 to Feb 10, 2026
- Accounts · 244 to 325Apr 9, 2024 to Mar 27, 2025
- Individual clients · 124 to 207Apr 9, 2024 to Mar 27, 2025
- Financial planning clients · 1-10 to 1-10Apr 9, 2024 to Mar 27, 2025
- Discretionary RAUM · $151M to $235MApr 9, 2024 to Mar 27, 2025
- Individual RAUM · $151M to $235MApr 9, 2024 to Mar 27, 2025
- RAUM · $151M to $235MApr 9, 2024 to Mar 27, 2025
- Advisory employees · 3 to 4Jan 28, 2024 to Apr 9, 2024
- Employees · 3 to 4Jan 28, 2024 to Apr 9, 2024
- Insurance-licensed employees · 3 to 4Jan 28, 2024 to Apr 9, 2024
- State-registered IARs · 3 to 4Jan 28, 2024 to Apr 9, 2024
- Accounts · 211 to 244Mar 20, 2023 to Jan 28, 2024
- Advisory employees · 2 to 3Mar 20, 2023 to Jan 28, 2024
- Individual clients · 119 to 124Mar 20, 2023 to Jan 28, 2024
- Employees · 2 to 3Mar 20, 2023 to Jan 28, 2024
- Insurance-licensed employees · 2 to 3Mar 20, 2023 to Jan 28, 2024
- State-registered IARs · 2 to 3Mar 20, 2023 to Jan 28, 2024
- Discretionary RAUM · $138M to $151MMar 20, 2023 to Jan 28, 2024
- Individual RAUM · $138M to $151MMar 20, 2023 to Jan 28, 2024
- RAUM · $138M to $151MMar 20, 2023 to Jan 28, 2024
- Accounts · 230 to 211Aug 24, 2022 to Mar 20, 2023
- Individual clients · 120 to 119Aug 24, 2022 to Mar 20, 2023
- Discretionary RAUM · $161M to $138MAug 24, 2022 to Mar 20, 2023
- Individual RAUM · $161M to $138MAug 24, 2022 to Mar 20, 2023
- RAUM · $161M to $138MAug 24, 2022 to Mar 20, 2023
- Discretionary RAUM · $141M to $161MFeb 11, 2021 to Feb 24, 2022
- Individual RAUM · $141M to $161MFeb 11, 2021 to Feb 24, 2022
- RAUM · $141M to $161MFeb 11, 2021 to Feb 24, 2022
- Accounts · 108 to 230Jun 29, 2020 to Feb 11, 2021
- Individual clients · 108 to 120Jun 29, 2020 to Feb 11, 2021
- Financial planning clients · 0 to 1-10Jun 29, 2020 to Feb 11, 2021
- Discretionary RAUM · $122M to $141MJun 29, 2020 to Feb 11, 2021
- Individual RAUM · $122M to $141MJun 29, 2020 to Feb 11, 2021
- RAUM · $122M to $141MJun 29, 2020 to Feb 11, 2021
- Accounts · 77 to 108Mar 15, 2019 to Mar 25, 2020
- Individual clients · 77 to 108Mar 15, 2019 to Mar 25, 2020
Signals
1 dated events
- C•••••• L••••• I••••••••• filed its initial SEC registration (Form ADV)Apr 1, 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
- 925-443-0947reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 925-448-2215reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- w••.c••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 925-448-2215reportedpublic record, Form ADV, Feb 10, 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
- $128Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026