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
I•••••••• W••••• A•••••••• I•••
Latest filing Jun 22, 2026
First filing on the tape Apr 11, 2018 · 33 filings
SEC status approved since May 14, 2018
RAUM
$285M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
90%
$257M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$71.4M
derived; firm RAUM over IAPD count
Employees
10
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$285M as of Jun 22, 2026
Feb 15, 2019$154M then
HNW client RAUM$213M as of Jun 22, 2026
Feb 15, 2019$52.0M then
State-registered IARs (5.B.3)4 as of Jun 22, 2026
Feb 15, 20198 then
Employees (5.A)10 as of Jun 22, 2026
Feb 15, 20198 then
Private funds: no history
RAUM +3.8% over the last fiscal year-2.4% a year over threeIARs 5 to 4offices 2 to 1
Practice profile
derived from the filing of Jun 22, 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
- 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
- RAUM per advisor
- $71.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 205derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.2MderivedHNW RAUM over HNW clients
- Average account
- $245,897derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 8.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +3.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- -20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.3%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
- Custody
- $115M, 151 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$213M75%
- Individuals$43.7M15%
- Pension and profit-sharing plans$21.1M7.4%
- Charitable organizations$4.3M1.5%
- Banks and thrifts$1.8M0.6%
- Corporations and businesses$1.8M0.6%
- Individual clients
- 641reported
- HNW clients
- 177reported
- Pension plan clients
- 5reported
- Charitable clients
- 5reported
- Accounts
- 1,161reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $115M for 151 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.9 fund_share=0.0 institutional_share=0.09 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••••• H••• W•••••Certified Financial Planner | Ventura, Ca | Apr 29, 2016 | 33 y | 3 |
| L•••• E•••••••• M••••• | Ventura, Ca | Jul 31, 2018 | 13 y | 1 |
| D•••••• R••••• E•••• | Ventura, Ca | Jan 7, 2020 | 22 y | 0 |
| R••••• W••••••• C••••••• | Ventura, Ca | Feb 25, 2020 | 20 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 headcount1 left over 36 months
Left, latest
- M••••••• M•••••• to C••••••••• F•••••••• N••••••Apr 24, 2024 · RIA to affiliated broker-dealer or bank
- C••••• W•••••• H••••• to G••••• S•••• W••••• M••••••••• L••Feb 27, 2020 · RIA to RIA
Joined, latest
- R••••• W••••••• C••••••• from M•• I•••••••• S•••••••• L••Feb 25, 2020 · Affiliated broker-dealer or bank to independent RIA
- M••••••• M•••••• from D•••• A•• D••••• I•••May 1, 2019 · Other
- L•••• E•••••••• M••••• from A••••••••• F•••••••• S•••••••• L••Jul 31, 2018 · Affiliated broker-dealer or bank to independent RIA
- C••••• W•••••• H••••• from T••••••••• F•••••••• A•••••••• L••May 16, 2016 · Other
- S•••••• H••• W••••• from T••••••••• F•••••••• A•••••••• L••Apr 29, 2016 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••••• C••••••• T•••• · Chief Compliance Officercontrolsince 04/2024 · owns less than 5%
- W•••••• C••••••••• B•••• · Chief Financial Officercontrolsince 01/2016 · owns less than 5%
- W•••••• S••••••• H••• · Chief Executive Officer & Chief Investment Officercontrolsince 01/2016 · owns less than 5%
- W•••••• S••••••• H••• · Managing Partnercontrolsince 03/2023 · owns 75% or more of I•••••••• W••••• A•••••••• I•••
Entity owners
- I•••••••• W••••• A•••••••• I••• · 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 |
|---|---|---|---|---|---|
| Ventura, Ca · principal | 4 | 0 | 0 | ||
| Ojai, Ca | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Ojai, CA2 employees
- , 2 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Mar 26, 2026HNW share of RAUM moved from 50.0% to 75.0% between the annual amendments of 2025-03-26 and 2026-03-26peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Business name · I•••••••• W••••• A•••••••• L•• to I•••••••• W••••• A•••••••• I•••May 15, 2026 to Jun 22, 2026
- Legal name · I•••••••• W••••• A•••••••• L•• to I•••••••• W••••• A•••••••• I•••Mar 26, 2026 to May 15, 2026
- Organization form · Limited Liability Company to CorporationMar 26, 2026 to May 15, 2026
- Accounts · 1,269 to 1,161Sep 2, 2025 to Mar 26, 2026
- Advisory employees · 4 to 3Sep 2, 2025 to Mar 26, 2026
- BD registered reps · 2 to 0Sep 2, 2025 to Mar 26, 2026
- Charity clients · 4 to 5Sep 2, 2025 to Mar 26, 2026
- Corporate clients · 9 to 3Sep 2, 2025 to Mar 26, 2026
- HNW clients · 180 to 177Sep 2, 2025 to Mar 26, 2026
- Individual clients · 620 to 641Sep 2, 2025 to Mar 26, 2026
- Pension plan clients · 10 to 5Sep 2, 2025 to Mar 26, 2026
- Assets in custody · $275M to $115MSep 2, 2025 to Mar 26, 2026
- State-registered IARs · 5 to 4Sep 2, 2025 to Mar 26, 2026
- Other offices · 2 to 1Sep 2, 2025 to Mar 26, 2026
- Discretionary RAUM · $254M to $285MSep 2, 2025 to Mar 26, 2026
- HNW RAUM · $137M to $213MSep 2, 2025 to Mar 26, 2026
- Individual RAUM · $109M to $43.7MSep 2, 2025 to Mar 26, 2026
- Non-discretionary RAUM · $21.0M to $0Sep 2, 2025 to Mar 26, 2026
- Pension RAUM · $21.0M to $21.1MSep 2, 2025 to Mar 26, 2026
- RAUM · $275M to $285MSep 2, 2025 to Mar 26, 2026
- Accounts · 1,599 to 1,269Apr 29, 2024 to Mar 26, 2025
- Advisory employees · 8 to 4Apr 29, 2024 to Mar 26, 2025
- Advisory activities · 4 to 5Apr 29, 2024 to Mar 26, 2025
- BD registered reps · 3 to 2Apr 29, 2024 to Mar 26, 2025
- Charity clients · 6 to 4Apr 29, 2024 to Mar 26, 2025
- Corporate clients · 11 to 9Apr 29, 2024 to Mar 26, 2025
- HNW clients · 245 to 180Apr 29, 2024 to Mar 26, 2025
- Individual clients · 843 to 620Apr 29, 2024 to Mar 26, 2025
- Pension plan clients · 9 to 10Apr 29, 2024 to Mar 26, 2025
- Assets in custody · $295M to $275MApr 29, 2024 to Mar 26, 2025
- Employees · 14 to 10Apr 29, 2024 to Mar 26, 2025
- Financial planning clients · 1-10 to 251-500Apr 29, 2024 to Mar 26, 2025
- State-registered IARs · 8 to 5Apr 29, 2024 to Mar 26, 2025
- Discretionary RAUM · $295M to $254MApr 29, 2024 to Mar 26, 2025
- HNW RAUM · $157M to $137MApr 29, 2024 to Mar 26, 2025
- Individual RAUM · $129M to $109MApr 29, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $16.9M to $21.0MApr 29, 2024 to Mar 26, 2025
- Pension RAUM · $16.9M to $21.0MApr 29, 2024 to Mar 26, 2025
- RAUM · $312M to $275MApr 29, 2024 to Mar 26, 2025
- Accounts · 1,540 to 1,599Apr 6, 2023 to Mar 21, 2024
Signals
4 dated events
- Tracy Charles Mcgortey (Chief Compliance Officer) appeared on Schedule A of I•••••••• W••••• A•••••••• I•••Apr 29, 2024 · Control person joined · fact
- M••••••• M•••••• left I•••••••• W••••• A•••••••• I••• for C••••••••• F•••••••• N•••••• (registered 2024-04-23)Apr 24, 2024 · Advisor changed firm · fact
- I•••••••• W••••• A•••••••• I••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Mar 9, 2023 · Succession (Item 4) · fact
- I•••••••• W••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Apr 11, 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
- Business phone
- 805-646-3729reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 805-339-0760reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/integrity-wealth-advisors-increportedpublic record, Form ADV, Sep 18, 2026
- Website
- i••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 805-339-0760reportedpublic record, Form ADV, Jun 22, 2026
- Contact form
- i••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Team page
- i••••••.comreportedpublished by the firm, firm site, Sep 17, 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
- $71.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026