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•••••••••
Legal name P•••• A•••• M••••••••• L••
Latest filing Mar 24, 2026
First filing on the tape Jul 11, 2023 · 22 filings
SEC status approved since Aug 10, 2023
RAUM
$154M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$154M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$38.4M
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$154M as of Mar 24, 2026
Mar 21, 2024$113M then
HNW client RAUM$122M as of Mar 24, 2026
Mar 21, 2024$27.0M then
State-registered IARs (5.B.3)5 as of Mar 24, 2026
Mar 21, 20245 then
Employees (5.A)5 as of Mar 24, 2026
Mar 21, 20245 then
Private funds: no history
RAUM +16% over the last fiscal yearIARs 5 to 5
Practice profile
derived from the filing of Mar 24, 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
- RAUM per advisor
- $38.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 72derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.3MderivedHNW RAUM over HNW clients
- Average account
- $530,011derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 1.0derived4 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
- +5.1%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, 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
- 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
- High-net-worth individuals$122M79%
- Individuals$31.4M20%
- Charitable organizations$156,6820.1%
- Individual clients
- 252reported
- HNW clients
- 37reported
- Pension plan clients
- 0reported
- Charitable clients
- 1reported
- Accounts
- 290reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C••••••••• P••• P•••• | Albuquerque, Nm | Jun 1, 2018 | 32 y | 9 |
| R•••••• L• A••• | Lincoln, Ca | May 11, 2023 | 34 y | 4 |
| G•••••• C• D•••• | Albuquerque, Nm | May 15, 2023 | 13 y | 0 |
| D•••• M•• A•••Chartered Financial Consultant | Lincoln, Ca | Aug 15, 2023 | 42 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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- D•••• M•• A••• from O••••••• A••••••• A•• F•••••••• S•••••••• L••Aug 15, 2023 · Other
- R•••••• L• A••• from C••••• S••••• A•••••••• I•••May 11, 2023 · RIA to RIA
- C••••••••• P••• P•••• from Q•••••• A•••• M••••••••• I•••Jun 1, 2018 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P••••• C••••••••• P••• · Managing Director/Chief Compliance Officercontrolsince 04/2018 · owns 75% or more
Related persons
Schedule D 7.A
- C••••••••• P• P••••investment companyy
- P•••• I•••••••• S••••••••• L••real estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Albuquerque, Nm · principal | 4 | 0 | 0 | ||
| Lincoln, Ca | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 2 employees
- Albuquerque, NM1 employees
What changed
consecutive filings, newest first
- Accounts · 275 to 290Oct 17, 2025 to Mar 24, 2026
- Charity clients · 0 to 1Oct 17, 2025 to Mar 24, 2026
- HNW clients · 29 to 37Oct 17, 2025 to Mar 24, 2026
- Individual clients · 246 to 252Oct 17, 2025 to Mar 24, 2026
- Discretionary RAUM · $133M to $154MOct 17, 2025 to Mar 24, 2026
- HNW RAUM · $103M to $122MOct 17, 2025 to Mar 24, 2026
- Individual RAUM · $29.9M to $31.4MOct 17, 2025 to Mar 24, 2026
- RAUM · $133M to $154MOct 17, 2025 to Mar 24, 2026
- Financial planning clients · 1-10 to 1-10Mar 19, 2025 to May 16, 2025
- Accounts · 236 to 275Oct 29, 2024 to Mar 19, 2025
- HNW clients · 15 to 29Oct 29, 2024 to Mar 19, 2025
- Individual clients · 221 to 246Oct 29, 2024 to Mar 19, 2025
- Discretionary RAUM · $113M to $133MOct 29, 2024 to Mar 19, 2025
- HNW RAUM · $27.0M to $103MOct 29, 2024 to Mar 19, 2025
- Individual RAUM · $86.2M to $29.9MOct 29, 2024 to Mar 19, 2025
- RAUM · $113M to $133MOct 29, 2024 to Mar 19, 2025
- HQ city · unset to ALBUQUERQUEJul 22, 2024 to Sep 27, 2024
- HQ state · unset to NMJul 22, 2024 to Sep 27, 2024
- HQ city · ALBUQUERQUE to unsetMar 21, 2024 to Jul 22, 2024
- HQ state · NM to unsetMar 21, 2024 to Jul 22, 2024
- Other offices · 2 to 3Mar 21, 2024 to Jul 22, 2024
- Accounts · 190 to 236Jan 5, 2024 to Mar 21, 2024
- Individual clients · 92 to 221Jan 5, 2024 to Mar 21, 2024
- Discretionary RAUM · $101M to $113MJan 5, 2024 to Mar 21, 2024
- HNW RAUM · $22.0M to $27.0MJan 5, 2024 to Mar 21, 2024
- Individual RAUM · $79.3M to $86.2MJan 5, 2024 to Mar 21, 2024
- RAUM · $101M to $113MJan 5, 2024 to Mar 21, 2024
- HQ city · unset to ALBUQUERQUENov 6, 2023 to Jan 5, 2024
- HQ state · unset to NMNov 6, 2023 to Jan 5, 2024
- Other offices · 1 to 2Nov 6, 2023 to Jan 5, 2024
- Advisory employees · 4 to 5Aug 14, 2023 to Aug 16, 2023
- Employees · 4 to 5Aug 14, 2023 to Aug 16, 2023
- State-registered IARs · 4 to 5Aug 14, 2023 to Aug 16, 2023
Signals
1 dated events
- W•••••••• W••••• M••••••••• filed its initial SEC registration (Form ADV)Jul 11, 2023 · 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
- 505-831-6342reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- waterrockdividend.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 505-831-6342reportedpublic record, Form ADV, Mar 24, 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
- $38.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026