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••••••• W••••• M•••••••••
Latest filing May 14, 2026
First filing on the tape May 21, 2021 · 17 filings
SEC status approved since Jul 1, 2021
RAUM
$300M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$282M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$150M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$300M as of May 14, 2026
Mar 18, 2022$183M then
HNW client RAUM$259M as of May 14, 2026
Mar 18, 2022$173M then
State-registered IARs (5.B.3)2 as of May 14, 2026
Mar 18, 20222 then
Employees (5.A)3 as of May 14, 2026
Mar 18, 20223 then
Private funds1 as of May 14, 2026
Mar 29, 20241 then
RAUM -11% over the last fiscal year+37% a year over threeIARs 2 to 2
Practice profile
derived from the filing of May 14, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $150MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 63derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $6.5MderivedHNW RAUM over HNW clients
- Average account
- $2.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 6.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +64%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $30.1M, 23 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$259M86%
- Individuals$23.3M7.8%
- Pension and profit-sharing plans$18.4M6.1%
- Individual clients
- 86reported
- HNW clients
- 40reported
- Pension plan clients
- 3reported
- Charitable clients
- n/areported
- Accounts
- 143reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $30.1M for 23 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.06 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• A••••• P•••••• | Los Angeles, Ca | Apr 4, 2020 | 24 y | 3 |
| J•••••• C••••••• | Los Angeles, Ca | Oct 11, 2021 | 15 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
- M•••••• A••••• P•••••• from G•• C•••••• A•••••••• L••Apr 4, 2020 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| W••••••• A•••• O••••••••• F••• L• | Hedge Fund | $6.0M | 11 | Nov 14, 2023 |
Owners and control persons
Schedule A and B, latest filing
- P••••••• M••••••• A••••• · President & Chief Compliance Officercontrolsince 10/2017 · 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 |
|---|---|---|---|---|---|
| Los Angeles, Ca · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- account count collapseChange between filings · filing Mar 9, 2026accounts (Item 5.F.2.f) moved from 237.0 to 143.0 (-40.0%) between the annual amendments of 2025-03-30 and 2026-03-09; the peer median change was +5.0% (3686 comparable advisers, 4.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,686) · 3.9% percentile
What changed
consecutive filings, newest first
- Accounts · 237 to 143Oct 3, 2025 to Mar 9, 2026
- Charity clients · 0.0 to unsetOct 3, 2025 to Mar 9, 2026
- Corporate clients · 0.0 to unsetOct 3, 2025 to Mar 9, 2026
- HNW clients · 38 to 40Oct 3, 2025 to Mar 9, 2026
- Individual clients · 39 to 86Oct 3, 2025 to Mar 9, 2026
- Pension plan clients · 1 to 3Oct 3, 2025 to Mar 9, 2026
- Assets in custody · $7.4M to $30.1MOct 3, 2025 to Mar 9, 2026
- Discretionary RAUM · $339M to $300MOct 3, 2025 to Mar 9, 2026
- HNW RAUM · $306M to $259MOct 3, 2025 to Mar 9, 2026
- Individual RAUM · $23.2M to $23.3MOct 3, 2025 to Mar 9, 2026
- Pension RAUM · $2.5M to $18.4MOct 3, 2025 to Mar 9, 2026
- Pooled vehicle RAUM · 7400000.0 to unsetOct 3, 2025 to Mar 9, 2026
- RAUM · $339M to $300MOct 3, 2025 to Mar 9, 2026
- Financial planning clients · unset to Mar 30, 2025 to Jun 30, 2025
- Accounts · 192 to 237Mar 29, 2024 to Mar 30, 2025
- Advisory activities · 1 to 2Mar 29, 2024 to Mar 30, 2025
- HNW clients · 39 to 38Mar 29, 2024 to Mar 30, 2025
- Individual clients · 34 to 39Mar 29, 2024 to Mar 30, 2025
- Pension plan clients · 0 to 1Mar 29, 2024 to Mar 30, 2025
- Pooled vehicle clients · 0 to 1Mar 29, 2024 to Mar 30, 2025
- Assets in custody · unset to 7400000.0Mar 29, 2024 to Mar 30, 2025
- Custody of client assets · false to trueMar 29, 2024 to Mar 30, 2025
- Discretionary RAUM · $185M to $339MMar 29, 2024 to Mar 30, 2025
- HNW RAUM · $113M to $306MMar 29, 2024 to Mar 30, 2025
- Individual RAUM · $72.5M to $23.2MMar 29, 2024 to Mar 30, 2025
- Pension RAUM · $0 to $2.5MMar 29, 2024 to Mar 30, 2025
- Pooled vehicle RAUM · $0 to $7.4MMar 29, 2024 to Mar 30, 2025
- RAUM · $185M to $339MMar 29, 2024 to Mar 30, 2025
- Accounts · 174 to 192Nov 15, 2023 to Mar 29, 2024
- Discretionary RAUM · $116M to $185MNov 15, 2023 to Mar 29, 2024
- HNW RAUM · $111M to $113MNov 15, 2023 to Mar 29, 2024
- Individual RAUM · $5.6M to $72.5MNov 15, 2023 to Mar 29, 2024
- RAUM · $116M to $185MNov 15, 2023 to Mar 29, 2024
- Private funds · unset to 1Jul 5, 2023 to Nov 14, 2023
- Accounts · 66 to 174Aug 10, 2022 to Mar 17, 2023
- HNW clients · 35 to 39Aug 10, 2022 to Mar 17, 2023
- Individual clients · 31 to 34Aug 10, 2022 to Mar 17, 2023
- Discretionary RAUM · $183M to $116MAug 10, 2022 to Mar 17, 2023
- HNW RAUM · $173M to $111MAug 10, 2022 to Mar 17, 2023
- Individual RAUM · $10.0M to $5.6MAug 10, 2022 to Mar 17, 2023
Signals
2 dated events
- W••••••• W••••• M••••••••• reported RAUM $338.8M, up 83% from $185.0M (2024-03-29 to 2025-03-30)Mar 30, 2025 · RAUM change · derived
- W••••••• W••••• M••••••••• filed its initial SEC registration (Form ADV)May 21, 2021 · 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
- 424-255-3120reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/westwoodwealthmgmtreportedpublic record, Form ADV, Sep 19, 2026
- Website
- w•••••.coreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (424) 255-3120reportedpublic record, Form ADV, May 14, 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
- $150Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026