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••••• F•••••••• G••••• I•••
Latest filing Jul 13, 2026
First filing on the tape Nov 13, 2020 · 20 filings
SEC status approved since Dec 14, 2020
RAUM
$331M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$331M individuals and HNW
Advisors
10
registered through the firm on IAPD
RAUM per advisor
$33.1M
derived; firm RAUM over IAPD count
Employees
8
7 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$331M as of Jul 13, 2026
Mar 11, 2021$154M then
HNW client RAUM$763,074 as of Jul 13, 2026
Mar 11, 2021$18.9M then
State-registered IARs (5.B.3)7 as of Jul 13, 2026
Mar 11, 20217 then
Employees (5.A)8 as of Jul 13, 2026
Mar 11, 20217 then
Private funds: no history
RAUM +21% over the last fiscal year+13% a year over threeIARs 8 to 7
Practice profile
derived from the filing of Jul 13, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $33.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 269derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $84,786derivedHNW RAUM over HNW clients
- Average account
- $123,113derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.8derivedItem 5.A over advisors
- Advisors per office
- 5.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- -13%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +68%derived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, selection of other advisersreportedItem 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
- is a broker-dealer (6.A.1)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$330M100%
- High-net-worth individuals$763,0740.2%
- Individual clients
- 2,681reported
- HNW clients
- 9reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2,690reported
- Financial planning clients
- reported
- 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=true related_bank=false bd_reps=4.0derived
Advisors registered through the firm
10 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• D•••• C••••• | San Diego, Ca | Jun 15, 2016 | 25 y | 1 |
| T••• L•• R•••••••• | San Diego, Ca | Jul 20, 2017 | 21 y | 0 |
| P••••• J••• D•••••• | San Diego, Ca | Apr 29, 2019 | 12 y | 0 |
| M•••••• D• K•••• | Uniondale, Ny | Apr 3, 2021 | 11 y | 0 |
| K••• A•••• H••••Chartered Financial Consultant | San Diego, Ca | Jan 3, 2022 | 11 y | 0 |
| A••• T••••• B•••• | San Diego, Ca | Aug 1, 2024 | 28 y | 2 |
| S•••• Z••••••••• | San Diego, Ca | Apr 24, 2025 | 13 y | 1 |
| D•••• C••• M•••• | San Diego, Ca | Oct 24, 2025 | 24 y | 1 |
| J•••••• R•••• R••• | San Diego, Ca | Apr 15, 2026 | 15 y | 0 |
| K••• W•••••• C•••••• | San Diego, Ca | Jul 14, 2026 | 17 y | 0 |
Advisor movement
1 left, 2 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 10% of current headcount2 left over 36 months
Left, latest
- R•••••• A• F••••• to B••••••••• A•••• M••••••••• L••Apr 30, 2026 · RIA to RIA
- K••• S••••• K•••••• to A•• W•••••• L••Jan 3, 2024 · RIA to RIA
Joined, latest
- R•••••• A• F••••• from D•••••••• • A••••••••• I•••Mar 18, 2026 · Other
- D•••• C••• M•••• from M•••• T•••••• I••••••••• P•••••••• L••Oct 24, 2025 · Other
- S•••• Z••••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Apr 24, 2025 · Wirehouse to independent RIA
- A••• T••••• B•••• from C•••••• S••••• • C••• I•••Aug 1, 2024 · Affiliated broker-dealer or bank to independent RIA
- M•••••• D•••• C••••• from G••••••• A•••••••• L••Jun 15, 2016 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••• M••••••• D•••• · President/Ccocontrolsince 05/2016 · owns 75% or more
Related persons
Schedule D 7.A
- E•••••• E••••• L••broker-dealern
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| San Diego, Ca · principal | 10 | 3 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Uniondale, NY1 employees
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- unusually high clients per advisorStatic outlier · filing Jul 13, 2026private clients per advisor of 269.0 against a peer median of 57.3 (3076 comparable advisers, 99.0th percentile, 6.0 robust deviations)peers: independent wealth managers, $100M to $500M (3,076) · 99% percentile
- client count surgeChange between filings · filing Apr 30, 2026individual and HNW clients (Item 5.D) moved from 1,598.0 to 2,690.0 (+68.0%) between the annual amendments of 2025-04-24 and 2026-04-30; the peer median change was +3.0% (3309 comparable advisers, 98.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,309) · 98% percentile
- HNW share shiftChange between filings · filing Apr 30, 2026HNW share of RAUM moved from 21.0% to 0.0% between the annual amendments of 2025-04-24 and 2026-04-30peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 3,270 to 2,690Mar 12, 2026 to Apr 30, 2026
- Advisory employees · 8 to 7Mar 12, 2026 to Apr 30, 2026
- BD registered reps · 2 to 4Mar 12, 2026 to Apr 30, 2026
- HNW clients · 33 to 9Mar 12, 2026 to Apr 30, 2026
- Individual clients · 1,317 to 2,681Mar 12, 2026 to Apr 30, 2026
- State-registered IARs · 8 to 7Mar 12, 2026 to Apr 30, 2026
- Discretionary RAUM · $319M to $330MMar 12, 2026 to Apr 30, 2026
- HNW RAUM · $47.0M to $763,074Mar 12, 2026 to Apr 30, 2026
- Individual RAUM · $272M to $330MMar 12, 2026 to Apr 30, 2026
- Non-discretionary RAUM · $30,237 to $763,074Mar 12, 2026 to Apr 30, 2026
- RAUM · $319M to $331MMar 12, 2026 to Apr 30, 2026
- Accounts · 2,963 to 3,270Jul 21, 2025 to Nov 19, 2025
- HNW clients · 40 to 33Jul 21, 2025 to Nov 19, 2025
- Individual clients · 1,558 to 1,317Jul 21, 2025 to Nov 19, 2025
- Discretionary RAUM · $272M to $319MJul 21, 2025 to Nov 19, 2025
- HNW RAUM · $57.9M to $47.0MJul 21, 2025 to Nov 19, 2025
- Individual RAUM · $215M to $272MJul 21, 2025 to Nov 19, 2025
- Non-discretionary RAUM · $882,606 to $30,237Jul 21, 2025 to Nov 19, 2025
- RAUM · $273M to $319MJul 21, 2025 to Nov 19, 2025
- BD registered reps · 1 to 2Apr 24, 2025 to Jul 21, 2025
- Financial planning clients · unset to Apr 24, 2025 to Jul 21, 2025
- Accounts · 4,565 to 2,963Aug 1, 2024 to Apr 24, 2025
- Advisory employees · 7 to 8Aug 1, 2024 to Apr 24, 2025
- HNW clients · 9 to 40Aug 1, 2024 to Apr 24, 2025
- Individual clients · 1,688 to 1,558Aug 1, 2024 to Apr 24, 2025
- Employees · 7 to 8Aug 1, 2024 to Apr 24, 2025
- State-registered IARs · 7 to 8Aug 1, 2024 to Apr 24, 2025
- Discretionary RAUM · $261M to $272MAug 1, 2024 to Apr 24, 2025
- HNW RAUM · $14.5M to $57.9MAug 1, 2024 to Apr 24, 2025
- Individual RAUM · $247M to $215MAug 1, 2024 to Apr 24, 2025
- Non-discretionary RAUM · $1.3M to $882,606Aug 1, 2024 to Apr 24, 2025
- RAUM · $262M to $273MAug 1, 2024 to Apr 24, 2025
- Advisory employees · 6 to 7Feb 28, 2024 to Jul 30, 2024
- Employees · 6 to 7Feb 28, 2024 to Jul 30, 2024
- State-registered IARs · 6 to 7Feb 28, 2024 to Jul 30, 2024
- Accounts · 4,308 to 4,565Jan 3, 2024 to Feb 28, 2024
- HNW clients · 13 to 9Jan 3, 2024 to Feb 28, 2024
- Individual clients · 1,577 to 1,688Jan 3, 2024 to Feb 28, 2024
- Discretionary RAUM · $230M to $261MJan 3, 2024 to Feb 28, 2024
- HNW RAUM · $20.0M to $14.5MJan 3, 2024 to Feb 28, 2024
Signals
3 dated events
- R•••••• A• F••••• left C••••• F•••••••• G••••• I••• for B••••••••• A•••• M••••••••• L•• (registered 2026-06-23)Apr 30, 2026 · Advisor changed firm · fact
- K••• S••••• K•••••• left C••••• F•••••••• G••••• I••• for A•• W•••••• L•• (registered 2024-01-03)Jan 3, 2024 · Advisor changed firm · fact
- C••••• F•••••••• G••••• I••• filed its initial SEC registration (Form ADV)Nov 13, 2020 · 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
- 516-874-5030reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 619-294-6008reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- H••••://WWW.LINKEDIN.COM/COMPANY/17932838reportedpublic record, Form ADV, Sep 18, 2026
- Website
- FINANCIALPLANNERSANDIEGO.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 619-294-6008reportedpublic record, Form ADV, Jul 13, 2026
- Team page
- financialplannersandiego.com/our-teamreportedpublished by the firm, firm site, Sep 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
- $33.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026