DFX Intelligence

RIA Intelligence

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SEC-registered adviser

W••••••••• A•••••••• I•••

Independent wealth managerPlacerville, CaliforniaCRD 297192SEC 801-121183website IAPD

Latest filing Sep 14, 2026

First filing on the tape Apr 9, 2021 · 22 filings

SEC status approved since May 7, 2021

RAUM

$172M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

96%

$166M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$57.5M

derived; firm RAUM over IAPD count

Employees

3 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

22 filings and snapshots on the tape

RAUM$172M as of Mar 2, 2026

Feb 10, 2022$164M then

HNW client RAUM$78.2M as of Mar 2, 2026

Feb 10, 2022$76.5M then

State-registered IARs (5.B.3)2 as of Mar 2, 2026

Feb 10, 20223 then

Employees (5.A)5 as of Mar 2, 2026

Feb 10, 20226 then

Private funds: no history

RAUM +5.4% over the last fiscal year+9.6% a year over threeIARs 2 to 3

Practice profile

derived from the filing of Sep 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
Solo or small team · one advisor, or a wealth manager with up to three advisors and one office

RAUM per advisor: $57.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 130derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $1.7MderivedHNW RAUM over HNW clients
Average account: $179,748derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 3.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 2.0derivedItem 5.A over advisors
Advisors per office: 3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +5.4%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +0.0%derived
Compensation: percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, pension consulting, selection of other advisers, otherreportedItem 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

Individuals$87.6M51%
High-net-worth individuals$78.2M45%
Pension and profit-sharing plans$5.3M3.1%
Charitable organizations$754,0930.4%
Corporations and businesses$462,2250.3%

Individual clients: 343reported
HNW clients: 47reported
Pension plan clients: 2reported
Charitable clients: 4reported
Accounts: 959reported
Financial planning clients: 1-10reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: private_client_share=0.96 fund_share=0.0 institutional_share=0.04 related_bd= related_bank= bd_reps=0.0derived

Advisors registered through the firm

3 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
A••• L••••• A•••••••	Placerville, Ca	Aug 22, 2018	29 y	3
B•••• L•••• A•••••••Certified Financial Planner	Placerville, Ca	Aug 30, 2018	11 y	0
B••••••• H•••••••• A•••••••	Placerville, Ca	Aug 27, 2026	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

J••••• W•••••• H•••••••• to U••• I••••••••• S••••••• C••••••
May 3, 2019 · RIA to affiliated broker-dealer or bank

Joined, latest

J••••• W•••••• H•••••••• from S••••••••• A•••••• A•••••••• I•••
Aug 22, 2018 · Affiliated broker-dealer or bank to independent RIA
A••• L••••• A••••••• from A•••• P•••• A•••••••
Aug 22, 2018 · Affiliated broker-dealer or bank to independent RIA

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

A•••••••• A•••• L••••• · President/ Ceo/ Chief Compliance Officercontrol
since 08/2010 · owns 75% or more
A•••••••• A•••••• L••• · Secretary
since 08/2010 · owns less than 5%
A•••••••• B••••• L•••• · Director
since 01/2023 · owns less than 5%

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
Placerville, Ca · principal	3	1	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Advisory employees · 2 to 3
Mar 2, 2026 to Sep 8, 2026
Employees · 5 to 6
Mar 2, 2026 to Sep 8, 2026
Financial planning clients · 1-10 to 1-10
Mar 2, 2026 to Sep 8, 2026
State-registered IARs · 2 to 3
Mar 2, 2026 to Sep 8, 2026
Related adviser · false to unset
Mar 2, 2026 to Sep 8, 2026
Related bank · false to unset
Mar 2, 2026 to Sep 8, 2026
Related broker-dealer · false to unset
Mar 2, 2026 to Sep 8, 2026
Related insurance company · false to unset
Mar 2, 2026 to Sep 8, 2026
Succession · false to unset
Mar 2, 2026 to Sep 8, 2026
Accounts · 870 to 959
Oct 31, 2025 to Mar 2, 2026
HNW clients · 49 to 47
Oct 31, 2025 to Mar 2, 2026
Individual clients · 341 to 343
Oct 31, 2025 to Mar 2, 2026
Employees · 4 to 5
Oct 31, 2025 to Mar 2, 2026
Discretionary RAUM · $164M to $172M
Oct 31, 2025 to Mar 2, 2026
HNW RAUM · $75.5M to $78.2M
Oct 31, 2025 to Mar 2, 2026
Individual RAUM · $84.1M to $87.6M
Oct 31, 2025 to Mar 2, 2026
Pension RAUM · $2.8M to $5.3M
Oct 31, 2025 to Mar 2, 2026
RAUM · $164M to $172M
Oct 31, 2025 to Mar 2, 2026
Accounts · 904 to 870
Dec 11, 2024 to Jan 27, 2025
Advisory employees · 3 to 2
Dec 11, 2024 to Jan 27, 2025
HNW clients · 32 to 49
Dec 11, 2024 to Jan 27, 2025
Individual clients · 337 to 341
Dec 11, 2024 to Jan 27, 2025
Employees · 5 to 4
Dec 11, 2024 to Jan 27, 2025
Financial planning clients · 1-10 to 1-10
Dec 11, 2024 to Jan 27, 2025
State-registered IARs · 3 to 2
Dec 11, 2024 to Jan 27, 2025
Discretionary RAUM · $135M to $164M
Dec 11, 2024 to Jan 27, 2025
HNW RAUM · $51.0M to $75.5M
Dec 11, 2024 to Jan 27, 2025
Individual RAUM · $81.0M to $84.1M
Dec 11, 2024 to Jan 27, 2025
Pension RAUM · $1.9M to $2.8M
Dec 11, 2024 to Jan 27, 2025
RAUM · $135M to $164M
Dec 11, 2024 to Jan 27, 2025
Accounts · 890 to 904
Sep 8, 2023 to Jan 23, 2024
Charity clients · 3 to 4
Sep 8, 2023 to Jan 23, 2024
Corporate clients · 2 to 1
Sep 8, 2023 to Jan 23, 2024
HNW clients · 25 to 32
Sep 8, 2023 to Jan 23, 2024
Individual clients · 355 to 337
Sep 8, 2023 to Jan 23, 2024
Pooled vehicle clients · unset to 0.0
Sep 8, 2023 to Jan 23, 2024
Discretionary RAUM · $131M to $135M
Sep 8, 2023 to Jan 23, 2024
HNW RAUM · $40.9M to $51.0M
Sep 8, 2023 to Jan 23, 2024
Individual RAUM · $84.2M to $81.0M
Sep 8, 2023 to Jan 23, 2024
Pension RAUM · $2.0M to $1.9M
Sep 8, 2023 to Jan 23, 2024

Signals

1 dated events

W••••••••• A•••••••• I••• filed its initial SEC registration (Form ADV)
Apr 9, 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: 530-621-1111reportedpublished by the firm, firm site, Sep 16, 2026
Business phone: 530-621-1113reportedpublished by the firm, firm site, Sep 16, 2026
Website: W•••••••••ADVISORS.COMreportedpublic record, Form ADV, Sep 21, 2026
Principal office phone: 530-621-1111reportedpublic record, Form ADV, Sep 14, 2026
Contact form: wealthguardadvisors.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
Team page: wealthguardadvisors.com/our-teamreportedpublished by the firm, firm site, Sep 16, 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: $57.5Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026