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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

C•• W••••• M••••••••• L••

Former SEC-registered adviserBrea, CaliforniaCRD 224516SEC 801-100467IAPD
Latest filing Sep 2, 2021
First filing on the tape Jun 26, 2015 · 17 filings
RAUM
$183M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$183M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 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$183M as of Mar 9, 2021
Jan 18, 2016$93.7M then
HNW client RAUM$123M as of Mar 9, 2021
Mar 1, 2018$67.5M then
State-registered IARs (5.B.3)3 as of Mar 9, 2021
Jan 18, 20161 then
Employees (5.A)3 as of Mar 9, 2021
Jan 18, 20163 then
Private funds: no history
RAUM +14% over the last fiscal year+15% a year over threeIARs 1 to 3
Practice profile
derived from the filing of Sep 2, 2021; every figure names its basis
RAUM per advisor
$61.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
72derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.4MderivedHNW RAUM over HNW clients
Average account
$429,394derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+14%derivedbetween the last two annual amendments
Advisor growth, one year
+200%derivedItem 5.B.3 between annual amendments
Client growth, one year
+11%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
Wrap fee program
$4.5MreportedItem 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)
  • 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$123M67%
  • Individuals$60.4M33%
Individual clients
126reported
HNW clients
89reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
426reported
Financial planning clients
1-10reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
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
    • B•••••••• D•••• · Trusteecontrol
      since 01/1996 · owns F of T•• M••••• A• B••••••• A•• D•••• M• B••••••• 1••• R•••••••• L••••• T••••
    • E••••• K••••• S•••• · Chief Compliance Officer
      since 09/2021 · owns less than 5%
    Entity owners
    • T•• M••••• A• B••••••• A•• D•••• M• B••••••• 1••• R•••••••• L••••• T•••• · Managing Member
      direct · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 392 to 426
      Jun 9, 2020 to Mar 9, 2021
    • HNW clients · 82 to 89
      Jun 9, 2020 to Mar 9, 2021
    • Individual clients · 111 to 126
      Jun 9, 2020 to Mar 9, 2021
    • Employees · 4 to 3
      Jun 9, 2020 to Mar 9, 2021
    • State-registered IARs · 1 to 3
      Jun 9, 2020 to Mar 9, 2021
    • Discretionary RAUM · $160M to $183M
      Jun 9, 2020 to Mar 9, 2021
    • HNW RAUM · $111M to $123M
      Jun 9, 2020 to Mar 9, 2021
    • Individual RAUM · $49.4M to $60.4M
      Jun 9, 2020 to Mar 9, 2021
    • RAUM · $160M to $183M
      Jun 9, 2020 to Mar 9, 2021
    • Accounts · 347 to 392
      Mar 6, 2019 to Feb 14, 2020
    • HNW clients · 43 to 82
      Mar 6, 2019 to Feb 14, 2020
    • Individual clients · 202 to 111
      Mar 6, 2019 to Feb 14, 2020
    • Assets in custody · 55971203.0 to unset
      Mar 6, 2019 to Feb 14, 2020
    • Custody of client assets · true to false
      Mar 6, 2019 to Feb 14, 2020
    • Employees · 3 to 4
      Mar 6, 2019 to Feb 14, 2020
    • Financial planning clients · 0 to 1-10
      Mar 6, 2019 to Feb 14, 2020
    • State-registered IARs · 2 to 1
      Mar 6, 2019 to Feb 14, 2020
    • Discretionary RAUM · $126M to $160M
      Mar 6, 2019 to Feb 14, 2020
    • HNW RAUM · $62.3M to $111M
      Mar 6, 2019 to Feb 14, 2020
    • Individual RAUM · $63.5M to $49.4M
      Mar 6, 2019 to Feb 14, 2020
    • RAUM · $126M to $160M
      Mar 6, 2019 to Feb 14, 2020
    • Accounts · 314 to 347
      Mar 1, 2018 to Mar 6, 2019
    • HNW clients · 47 to 43
      Mar 1, 2018 to Mar 6, 2019
    • Individual clients · 141 to 202
      Mar 1, 2018 to Mar 6, 2019
    • Assets in custody · $50.0M to $56.0M
      Mar 1, 2018 to Mar 6, 2019
    • Discretionary RAUM · $121M to $126M
      Mar 1, 2018 to Mar 6, 2019
    • HNW RAUM · $67.5M to $62.3M
      Mar 1, 2018 to Mar 6, 2019
    • Individual RAUM · $53.6M to $63.5M
      Mar 1, 2018 to Mar 6, 2019
    • RAUM · $121M to $126M
      Mar 1, 2018 to Mar 6, 2019
    • Accounts · 307 to 314
      Dec 22, 2017 to Mar 1, 2018
    • HNW clients · 35 to 47
      Dec 22, 2017 to Mar 1, 2018
    • Individual clients · 177 to 141
      Dec 22, 2017 to Mar 1, 2018
    • Assets in custody · unset to 50000000.0
      Dec 22, 2017 to Mar 1, 2018
    • Custody of client assets · false to true
      Dec 22, 2017 to Mar 1, 2018
    • Discretionary RAUM · $115M to $121M
      Dec 22, 2017 to Mar 1, 2018
    • HNW RAUM · $51.6M to $67.5M
      Dec 22, 2017 to Mar 1, 2018
    • Individual RAUM · $63.5M to $53.6M
      Dec 22, 2017 to Mar 1, 2018
    • RAUM · $115M to $121M
      Dec 22, 2017 to Mar 1, 2018
    • Accounts · 298 to 307
      Apr 19, 2017 to Nov 6, 2017
    • HNW clients · unset to 35.0
      Apr 19, 2017 to Nov 6, 2017
    Signals
    3 dated events
    • Antoine Morris B••••••• (Managing Member/Chief Compliance Officer) no longer on Schedule A of C•• W••••• M••••••••• L•• (listed 2021-03-09, absent 2021-09-02)
      Sep 2, 2021 · Control person left · inference
    • D•••• B••••••• (Trustee) appeared on Schedule A of C•• W••••• M••••••••• L••
      Sep 2, 2021 · Control person joined · fact
    • C•• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
      Jun 26, 2015 · 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.
    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
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026