DFX Intelligence
RIA Intelligence
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SEC-registered adviser
T•• I••••••••• I•••
Latest filing Mar 25, 2026
First filing on the tape Jun 6, 2016 · 20 filings
SEC status approved since Jun 30, 2016
RAUM
$571M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$570M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$190M
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
20 filings and snapshots on the tape
RAUM$571M as of Mar 25, 2026
Feb 23, 2017$114M then
HNW client RAUM$500M as of Mar 25, 2026
Mar 1, 2018$87.9M then
State-registered IARs (5.B.3)3 as of Mar 25, 2026
Feb 23, 20172 then
Employees (5.A)3 as of Mar 25, 2026
Feb 23, 20172 then
Private funds: no history
RAUM +18% over the last fiscal year+24% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 25, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $190MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 127derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $549,707derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.1%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
- +18%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.3%derived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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
- 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$500M88%
- Individuals$70.0M12%
- Charitable organizations$678,5170.1%
- Individual clients
- 226reported
- HNW clients
- 155reported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 1,038reported
- Financial planning clients
- 11-25reported
- 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=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 |
|---|---|---|---|---|
| H••••••• C••• W•••••• | San Jose, Ca | Jun 30, 2016 | 12 y | 1 |
| H••••• W•••• W•••••• | San Jose, Ca | Jun 30, 2016 | 34 y | 1 |
| P•••• M• T• | San Jose, Ca | Oct 4, 2023 | 10 y | 0 |
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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W••••••• H•••••• W•••• · President & Ownercontrolsince 02/2016 · owns 75% or more
- L•••••• S•••••• C•••••• · Chief Compliance Officersince 03/2023 · owns less than 5%
- W••••••• H•••••••• C••• · Ownersince 01/2022 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| San Jose, Ca · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,024 to 1,038Mar 19, 2025 to Mar 25, 2026
- HNW clients · 137 to 155Mar 19, 2025 to Mar 25, 2026
- Individual clients · 239 to 226Mar 19, 2025 to Mar 25, 2026
- Discretionary RAUM · $485M to $571MMar 19, 2025 to Mar 25, 2026
- HNW RAUM · $412M to $500MMar 19, 2025 to Mar 25, 2026
- Individual RAUM · $73.0M to $70.0MMar 19, 2025 to Mar 25, 2026
- RAUM · $485M to $571MMar 19, 2025 to Mar 25, 2026
- Accounts · 986 to 1,024Apr 4, 2024 to Mar 19, 2025
- Advisory employees · 2 to 3Apr 4, 2024 to Mar 19, 2025
- HNW clients · 127 to 137Apr 4, 2024 to Mar 19, 2025
- Individual clients · 264 to 239Apr 4, 2024 to Mar 19, 2025
- Employees · 2 to 3Apr 4, 2024 to Mar 19, 2025
- Financial planning clients · 1-10 to 11-25Apr 4, 2024 to Mar 19, 2025
- State-registered IARs · 2 to 3Apr 4, 2024 to Mar 19, 2025
- Discretionary RAUM · $405M to $485MApr 4, 2024 to Mar 19, 2025
- HNW RAUM · $353M to $412MApr 4, 2024 to Mar 19, 2025
- Individual RAUM · $52.3M to $73.0MApr 4, 2024 to Mar 19, 2025
- RAUM · $405M to $485MApr 4, 2024 to Mar 19, 2025
- HNW RAUM · $220M to $353MMar 29, 2023 to Mar 29, 2024
- Individual RAUM · $80.7M to $52.3MMar 29, 2023 to Mar 29, 2024
- RAUM · $302M to $405MMar 29, 2023 to Mar 29, 2024
- Accounts · 910 to 986Mar 29, 2023 to Mar 29, 2024
- HNW clients · 98 to 127Mar 29, 2023 to Mar 29, 2024
- Individual clients · 261 to 264Mar 29, 2023 to Mar 29, 2024
- Discretionary RAUM · $302M to $405MMar 29, 2023 to Mar 29, 2024
- Accounts · 819 to 910Mar 22, 2022 to Mar 29, 2023
- HNW clients · 111 to 98Mar 22, 2022 to Mar 29, 2023
- Individual clients · 208 to 261Mar 22, 2022 to Mar 29, 2023
- Discretionary RAUM · $330M to $302MMar 22, 2022 to Mar 29, 2023
- HNW RAUM · $267M to $220MMar 22, 2022 to Mar 29, 2023
- Individual RAUM · $62.3M to $80.7MMar 22, 2022 to Mar 29, 2023
- RAUM · $330M to $302MMar 22, 2022 to Mar 29, 2023
- Accounts · 791 to 819Mar 29, 2021 to Mar 22, 2022
- HNW clients · 79 to 111Mar 29, 2021 to Mar 22, 2022
- Individual clients · 232 to 208Mar 29, 2021 to Mar 22, 2022
- Discretionary RAUM · $226M to $330MMar 29, 2021 to Mar 22, 2022
- HNW RAUM · $156M to $267MMar 29, 2021 to Mar 22, 2022
- Individual RAUM · $69.8M to $62.3MMar 29, 2021 to Mar 22, 2022
- RAUM · $226M to $330MMar 29, 2021 to Mar 22, 2022
- Accounts · 756 to 791Jun 30, 2020 to Mar 29, 2021
Signals
6 dated events
- T•• I••••••••• I••• reported RAUM $405.5M, up 34% from $301.5M (2023-03-29 to 2024-03-29)Mar 29, 2024 · RAUM change · derived
- T•• I••••••••• I••• reported RAUM $330.2M, up 46% from $226.4M (2021-03-29 to 2022-03-22)Mar 22, 2022 · RAUM change · derived
- Wilson Jay Haas (Chief Compliance Officer) appeared on Schedule A of T•• I••••••••• I•••Aug 12, 2019 · Control person joined · fact
- William Lawrence Clay (Chief Compliance Officer) no longer on Schedule A of T•• I••••••••• I••• (listed 2019-08-07, absent 2019-08-12)Aug 12, 2019 · Control person left · inference
- T•• I••••••••• I••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Jun 6, 2016 · Succession (Item 4) · fact
- T•• I••••••••• I••• filed its initial SEC registration (Form ADV)Jun 6, 2016 · 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
- 408-377-2456reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 408-879-0399reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 888-607-1040reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- w••.t•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 408-879-0399reportedpublic record, Form ADV, Mar 25, 2026
- Team page
- t•••••••••.comreportedpublished 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
- $190Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026