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••••• L••
Latest filing Apr 1, 2026
First filing on the tape Jan 22, 2018 · 21 filings
SEC status approved since Apr 18, 2022
RAUM
$151M
reported, Item 5.F
Discretionary
84%
of RAUM
Private clients
99%
$149M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$151M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$151M as of Apr 1, 2026
Mar 10, 2023$123M then
HNW client RAUM$131M as of Apr 1, 2026
Mar 10, 2023$108M then
State-registered IARs (5.B.3)1 as of Apr 1, 2026
Mar 10, 20231 then
Employees (5.A)2 as of Apr 1, 2026
Mar 10, 20232 then
Private funds: no history
RAUM +16% over the last fiscal year+6.9% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Apr 1, 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
- $151MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 86derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.2MderivedHNW RAUM over HNW clients
- Average account
- $415,531derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 84%derivedof RAUM
- Institutional
- 0.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +19%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Wrap fee program
- $64.2MreportedItem 5.I
- Custody
- yesreportedItem 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$131M87%
- Individuals$18.0M12%
- Pension and profit-sharing plans$504,2310.3%
- Charitable organizations$387,6980.3%
- Corporations and businesses$33,5430.0%
- Individual clients
- 61reported
- HNW clients
- 25reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 363reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S••••• C••••••••• | Westlake Village, Ca | Feb 26, 2018 | 29 y | 4 |
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••••• C••••••••• from M•••••• W••••• M••••••••• L••Feb 26, 2018 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••••• S••••• · Owner & Chief Compliance Officercontrolsince 01/2018 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 263 to 363Apr 2, 2025 to Mar 31, 2026
- HNW clients · 30 to 25Apr 2, 2025 to Mar 31, 2026
- Individual clients · 42 to 61Apr 2, 2025 to Mar 31, 2026
- Assets in custody · $19.1M to $0Apr 2, 2025 to Mar 31, 2026
- Discretionary RAUM · $114M to $127MApr 2, 2025 to Mar 31, 2026
- HNW RAUM · $116M to $131MApr 2, 2025 to Mar 31, 2026
- Individual RAUM · $12.1M to $18.0MApr 2, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $15.2M to $24.1MApr 2, 2025 to Mar 31, 2026
- Pension RAUM · $1.5M to $504,231Apr 2, 2025 to Mar 31, 2026
- RAUM · $130M to $151MApr 2, 2025 to Mar 31, 2026
- Accounts · 176 to 263Sep 25, 2024 to Apr 2, 2025
- BD registered reps · 2 to 0Sep 25, 2024 to Apr 2, 2025
- Assets in custody · unset to 19135832.0Sep 25, 2024 to Apr 2, 2025
- Custody of client assets · false to trueSep 25, 2024 to Apr 2, 2025
- Financial planning clients · 0 to 0Sep 25, 2024 to Apr 2, 2025
- Discretionary RAUM · $114M to $114MSep 25, 2024 to Apr 2, 2025
- HNW RAUM · $96.2M to $116MSep 25, 2024 to Apr 2, 2025
- Individual RAUM · $11.2M to $12.1MSep 25, 2024 to Apr 2, 2025
- Non-discretionary RAUM · $0 to $15.2MSep 25, 2024 to Apr 2, 2025
- Pension RAUM · unset to 1478954.0Sep 25, 2024 to Apr 2, 2025
- RAUM · $114M to $130MSep 25, 2024 to Apr 2, 2025
- Accounts · 177 to 176Oct 30, 2023 to Feb 21, 2024
- HNW clients · 31 to 30Oct 30, 2023 to Feb 21, 2024
- Individual clients · 143 to 42Oct 30, 2023 to Feb 21, 2024
- Discretionary RAUM · $105M to $114MOct 30, 2023 to Feb 21, 2024
- HNW RAUM · $94.3M to $96.2MOct 30, 2023 to Feb 21, 2024
- Individual RAUM · $10.5M to $11.2MOct 30, 2023 to Feb 21, 2024
- Pension RAUM · 68011.0 to unsetOct 30, 2023 to Feb 21, 2024
- RAUM · $105M to $114MOct 30, 2023 to Feb 21, 2024
- Accounts · 278 to 177Mar 10, 2023 to Oct 26, 2023
- HNW clients · 40 to 31Mar 10, 2023 to Oct 26, 2023
- Individual clients · 61 to 143Mar 10, 2023 to Oct 26, 2023
- Discretionary RAUM · $110M to $105MMar 10, 2023 to Oct 26, 2023
- HNW RAUM · $108M to $94.3MMar 10, 2023 to Oct 26, 2023
- Individual RAUM · $14.8M to $10.5MMar 10, 2023 to Oct 26, 2023
- Non-discretionary RAUM · $13.0M to $0Mar 10, 2023 to Oct 26, 2023
- Pension RAUM · unset to 68011.0Mar 10, 2023 to Oct 26, 2023
- RAUM · $123M to $105MMar 10, 2023 to Oct 26, 2023
- Accounts · 205 to 278Nov 22, 2022 to Mar 10, 2023
- Advisory activities · 3 to 2Nov 22, 2022 to Mar 10, 2023
Signals
1 dated events
- C••••••••• F•••••••• G••••• L•• filed its initial SEC registration (Form ADV)Jan 22, 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
- 818-707-5304reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- w••.c•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 818-707-5304reportedpublic record, Form ADV, Apr 1, 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
- $151Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026