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
W•••••• A••••••• G••••• L••
Latest filing Jan 27, 2026
First filing on the tape Sep 10, 2015 · 23 filings
SEC status approved since Oct 1, 2015
RAUM
$269M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$269M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$269M
derived; firm RAUM over IAPD count
Employees
4
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$269M as of Jan 27, 2026
Feb 26, 2016$100M then
HNW client RAUM$160M as of Jan 27, 2026
Feb 20, 2018$105M then
State-registered IARs (5.B.3)1 as of Jan 27, 2026
Feb 26, 20162 then
Employees (5.A)4 as of Jan 27, 2026
Feb 26, 20166 then
Private funds: no history
RAUM +7.8% over the last fiscal year+6.9% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jan 27, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $269MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 87derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.6MderivedHNW RAUM over HNW clients
- Average account
- $690,903derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -33%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Custody
- $24.5M, 22 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
- is an insurance broker or agent (6.A.6)
- 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$160M59%
- Individuals$109M41%
- Individual clients
- 52reported
- HNW clients
- 35reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 390reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $24.5M for 22 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=1.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••• W•••••• W••••••Certified Financial Planner | Lafayette, Ca | Oct 1, 2015 | 13 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
- J••••• W•••••• W•••••• from E•••• S••••••••• L••Oct 1, 2015 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W••••••• J•••••• W•••••• · Chief Compliance Officercontrolsince 10/2015 · 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.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Jan 27, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $250,000,000 to $269,452,314, advisors 1 to 1, private clients 130 to 87, offices 0 to 0 (2025-03-10 to 2026-01-27)peers: independent wealth managers, $100M to $500M (5,678)
- HNW share shiftChange between filings · filing Jan 27, 2026HNW share of RAUM moved from 98.0% to 59.0% between the annual amendments of 2025-03-10 and 2026-01-27peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 420 to 390Mar 10, 2025 to Jan 27, 2026
- BD registered reps · 2 to 1Mar 10, 2025 to Jan 27, 2026
- HNW clients · 100 to 35Mar 10, 2025 to Jan 27, 2026
- Individual clients · 30 to 52Mar 10, 2025 to Jan 27, 2026
- Assets in custody · $0 to $24.5MMar 10, 2025 to Jan 27, 2026
- Employees · 2 to 4Mar 10, 2025 to Jan 27, 2026
- Discretionary RAUM · $250M to $269MMar 10, 2025 to Jan 27, 2026
- HNW RAUM · $245M to $160MMar 10, 2025 to Jan 27, 2026
- Individual RAUM · $5.0M to $109MMar 10, 2025 to Jan 27, 2026
- RAUM · $250M to $269MMar 10, 2025 to Jan 27, 2026
- Accounts · 140 to 420Jan 24, 2024 to Mar 10, 2025
- HNW clients · 58 to 100Jan 24, 2024 to Mar 10, 2025
- Individual clients · 10 to 30Jan 24, 2024 to Mar 10, 2025
- Assets in custody · $150M to $0Jan 24, 2024 to Mar 10, 2025
- Financial planning clients · 1-10 to 1-10Jan 24, 2024 to Mar 10, 2025
- Discretionary RAUM · $225M to $250MJan 24, 2024 to Mar 10, 2025
- HNW RAUM · $200M to $245MJan 24, 2024 to Mar 10, 2025
- Individual RAUM · $10.0M to $5.0MJan 24, 2024 to Mar 10, 2025
- RAUM · $225M to $250MJan 24, 2024 to Mar 10, 2025
- Accounts · 300 to 140Jan 12, 2023 to Jan 24, 2024
- HNW clients · 50 to 58Jan 12, 2023 to Jan 24, 2024
- Individual clients · unset to 10.0Jan 12, 2023 to Jan 24, 2024
- Assets in custody · $180M to $150MJan 12, 2023 to Jan 24, 2024
- Employees · 4 to 2Jan 12, 2023 to Jan 24, 2024
- Discretionary RAUM · $221M to $225MJan 12, 2023 to Jan 24, 2024
- HNW RAUM · $209M to $200MJan 12, 2023 to Jan 24, 2024
- Individual RAUM · unset to 10000000.0Jan 12, 2023 to Jan 24, 2024
- RAUM · $221M to $225MJan 12, 2023 to Jan 24, 2024
- Accounts · 350 to 300Feb 28, 2022 to Jan 12, 2023
- Advisory employees · 2 to 1Feb 28, 2022 to Jan 12, 2023
- Charity clients · 3.0 to unsetFeb 28, 2022 to Jan 12, 2023
- HNW clients · 65 to 50Feb 28, 2022 to Jan 12, 2023
- Individual clients · 40.0 to unsetFeb 28, 2022 to Jan 12, 2023
- State-registered IARs · 2 to 1Feb 28, 2022 to Jan 12, 2023
- Discretionary RAUM · $235M to $221MFeb 28, 2022 to Jan 12, 2023
- HNW RAUM · $190M to $209MFeb 28, 2022 to Jan 12, 2023
- Individual RAUM · 25000000.0 to unsetFeb 28, 2022 to Jan 12, 2023
- RAUM · $235M to $221MFeb 28, 2022 to Jan 12, 2023
- Related broker-dealer · false to trueFeb 28, 2022 to Jan 12, 2023
- Accounts · 293 to 350Mar 24, 2021 to Feb 28, 2022
Signals
1 dated events
- W•••••• A••••••• G••••• L•• filed its initial SEC registration (Form ADV)Sep 10, 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.
How to reach
public business contact points only, each with its source
- Business email
- info@wallaceadvisory.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 925-284-6880reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- W••••••ADVISORY.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 925-284-6880reportedpublic record, Form ADV, Jan 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
- $269Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026