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
M• W••••• M••••••••• L••
Latest filing Jul 15, 2026
First filing on the tape Mar 5, 2018 · 16 filings
SEC status approved since Apr 4, 2018
RAUM
$178M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$178M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$59.2M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$178M as of Jul 15, 2026
Mar 21, 2019$145M then
HNW client RAUM$91.4M as of Jul 15, 2026
Mar 21, 2019$47.7M then
State-registered IARs (5.B.3)3 as of Jul 15, 2026
Mar 21, 20193 then
Employees (5.A)3 as of Jul 15, 2026
Mar 21, 20193 then
Private funds: no history
RAUM +3.9% over the last fiscal year+7.7% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Jul 15, 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
- $59.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 119derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $213,673derivedRAUM 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
- +3.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $152M, 322 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$91.4M51%
- Individuals$86.1M49%
- Individual clients
- 317reported
- HNW clients
- 41reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 831reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $152M for 322 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A•••••••• G••• M••••••Certified Financial Planner | San Diego, Ca | Nov 12, 2015 | 20 y | 1 |
| W••••• W• M•••••• | San Diego, Ca | Nov 12, 2015 | 17 y | 1 |
| S•••• H• M•••••• | San Diego, Ca | Nov 16, 2015 | 24 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
- S•••• H• M•••••• from N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Nov 16, 2015 · Other
- A•••••••• G••• M•••••• from N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Nov 12, 2015 · Other
- W••••• W• M•••••• from N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Nov 12, 2015 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••Oct 3, 2017 · San Marcos, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••• A••••••••• G••• · Managing Membercontrolsince 09/2015 · owns 25% to 50%
- M••••••• S••••• H• · Managing Membercontrolsince 09/2015 · owns 25% to 50%
- M••••••• W•••••• W• · Managing Member And Chief Compliance Officercontrolsince 09/2015 · owns 25% to 50%
Related persons
Schedule D 7.A
- M•••••• F•••••••• S•••••••• I•••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| San Diego, Ca · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 881 to 831Mar 6, 2025 to Feb 17, 2026
- HNW clients · 36 to 41Mar 6, 2025 to Feb 17, 2026
- Individual clients · 333 to 317Mar 6, 2025 to Feb 17, 2026
- Assets in custody · $139M to $152MMar 6, 2025 to Feb 17, 2026
- Discretionary RAUM · $171M to $178MMar 6, 2025 to Feb 17, 2026
- HNW RAUM · $82.9M to $91.4MMar 6, 2025 to Feb 17, 2026
- Individual RAUM · $88.1M to $86.1MMar 6, 2025 to Feb 17, 2026
- RAUM · $171M to $178MMar 6, 2025 to Feb 17, 2026
- Accounts · 895 to 881Jan 8, 2024 to Mar 6, 2025
- HNW clients · 26 to 36Jan 8, 2024 to Mar 6, 2025
- Individual clients · 354 to 333Jan 8, 2024 to Mar 6, 2025
- Assets in custody · $132M to $139MJan 8, 2024 to Mar 6, 2025
- Financial planning clients · 0 to 0Jan 8, 2024 to Mar 6, 2025
- Discretionary RAUM · $153M to $171MJan 8, 2024 to Mar 6, 2025
- HNW RAUM · $59.4M to $82.9MJan 8, 2024 to Mar 6, 2025
- Individual RAUM · $93.5M to $88.1MJan 8, 2024 to Mar 6, 2025
- RAUM · $153M to $171MJan 8, 2024 to Mar 6, 2025
- Wrap assets (manager) · 6319982.0 to unsetJan 8, 2024 to Mar 6, 2025
- Wrap assets (sponsor) · 6319982.0 to unsetJan 8, 2024 to Mar 6, 2025
- Accounts · 894 to 895Sep 19, 2023 to Jan 8, 2024
- HNW clients · 24 to 26Sep 19, 2023 to Jan 8, 2024
- Individual clients · 364 to 354Sep 19, 2023 to Jan 8, 2024
- Assets in custody · $117M to $132MSep 19, 2023 to Jan 8, 2024
- Discretionary RAUM · $142M to $153MSep 19, 2023 to Jan 8, 2024
- HNW RAUM · $52.3M to $59.4MSep 19, 2023 to Jan 8, 2024
- Individual RAUM · $89.9M to $93.5MSep 19, 2023 to Jan 8, 2024
- RAUM · $142M to $153MSep 19, 2023 to Jan 8, 2024
- Wrap assets (manager) · $142M to $6.3MSep 19, 2023 to Jan 8, 2024
- Wrap assets (sponsor) · $142M to $6.3MSep 19, 2023 to Jan 8, 2024
- Accounts · 948 to 894Jan 26, 2022 to Jan 27, 2023
- HNW clients · 31 to 24Jan 26, 2022 to Jan 27, 2023
- Individual clients · 369 to 364Jan 26, 2022 to Jan 27, 2023
- Assets in custody · $128M to $117MJan 26, 2022 to Jan 27, 2023
- Custody of client assets · false to trueJan 26, 2022 to Jan 27, 2023
- Discretionary RAUM · $159M to $142MJan 26, 2022 to Jan 27, 2023
- HNW RAUM · $59.3M to $52.3MJan 26, 2022 to Jan 27, 2023
- Individual RAUM · $99.5M to $89.9MJan 26, 2022 to Jan 27, 2023
- RAUM · $159M to $142MJan 26, 2022 to Jan 27, 2023
- Related adviser · false to trueJan 26, 2022 to Jan 27, 2023
- Wrap assets (manager) · $159M to $142MJan 26, 2022 to Jan 27, 2023
Signals
1 dated events
- M• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Mar 5, 2018 · 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
- Website
- M••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 855-635-2763reportedpublic record, Form ADV, Jul 15, 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
- $59.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026