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
R••••••••• W••••••• G••••
Legal name R••••••••• W••••••• G•••• L••
Latest filing Mar 24, 2026
First filing on the tape May 16, 2018 · 24 filings
SEC status approved since Jun 15, 2018
RAUM
$527M
reported, Item 5.F
Discretionary
39%
of RAUM
Private clients
0.1%
$667,754 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$263M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$527M as of Mar 24, 2026
Mar 29, 2019$304M then
HNW client RAUM$667,754 as of Mar 24, 2026
Mar 27, 2024$0 then
State-registered IARs (5.B.3)2 as of Mar 24, 2026
Mar 29, 20195 then
Employees (5.A)2 as of Mar 24, 2026
Mar 29, 20196 then
Private funds: no history
RAUM +0.6% over the last fiscal year+54% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 24, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $263MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 1derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $667,754derivedHNW RAUM over HNW clients
- Average account
- $6.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 39%derivedof RAUM
- Institutional
- 100%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +0.6%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, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, pension consulting, educational seminarsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$474M90%
- State and municipal entities$35.5M6.7%
- Charitable organizations$15.9M3.0%
- High-net-worth individuals$667,7540.1%
- Individual clients
- 0reported
- HNW clients
- 1reported
- Pension plan clients
- 74reported
- Charitable clients
- 6reported
- Accounts
- 83reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=1.0 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 |
|---|---|---|---|---|
| B••• G•••• D•••••• | Pasadena, Ca | Jul 13, 2018 | 11 y | 1 |
| S••••••• O•• M••• | Pasadena, Ca | Jan 1, 2025 | 15 y | 2 |
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••••• M•••••• D••• to A•• C••••••• L••Jan 18, 2023 · Other
- T•••• N••••• L•• to A•••• C•••• I••••••••• L••Dec 13, 2019 · Other
- M•••• C••••••••• to W•••• I••••••••• A•••••••• L••Oct 10, 2018 · Other
Joined, latest
- S••••••• O•• M••• from M• H••••••• S••••••••• I•••Jan 1, 2025 · Other
- T•••• N••••• L•• from B••••• A••••••• L••Jul 10, 2019 · Other
- J••••• M•••••• D••• from B••••• A••••••• L••Apr 12, 2019 · Other
- B••• G•••• D•••••• from M• H••••••• S••••••••• I•••Jul 13, 2018 · Affiliated broker-dealer or bank to a newly registered adviser
- M•••• C••••••••• from B••••• A••••••• L••Jul 5, 2018 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from M• H••••••• S••••••••• I•••May 31, 2018 · Torrance, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••• S•••••••• O•• · Chief Compliance Officercontrolsince 01/2024 · owns less than 5%
- D••••••• B••• G•••• · Ownercontrolsince 01/2024 · owns 75% or more of B••• K•••• R••••••••• C••••••••• L••
- M•••• S•••••••• O•• · Ownercontrolsince 01/2024 · owns 75% or more of G• F•• B•••• C••••••••• L••
Entity owners
- B••• K•••• R••••••••• C••••••••• L•• · Ownerdirect · owns 75% or more
- G• F•• B•••• C••••••••• L•• · Ownerdirect · 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 |
|---|---|---|---|---|---|
| Pasadena, Ca · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Torrance, CA1 employees
What changed
consecutive filings, newest first
- Accounts · 82 to 83Jun 23, 2025 to Mar 24, 2026
- Charity clients · 0 to 6Jun 23, 2025 to Mar 24, 2026
- Pension plan clients · 79 to 74Jun 23, 2025 to Mar 24, 2026
- Discretionary RAUM · $145M to $204MJun 23, 2025 to Mar 24, 2026
- HNW RAUM · $950,000 to $667,754Jun 23, 2025 to Mar 24, 2026
- Non-discretionary RAUM · $379M to $323MJun 23, 2025 to Mar 24, 2026
- Pension RAUM · $492M to $474MJun 23, 2025 to Mar 24, 2026
- RAUM · $524M to $527MJun 23, 2025 to Mar 24, 2026
- Financial planning clients · 0 to 0Mar 31, 2025 to Jun 23, 2025
- Accounts · 81 to 82Nov 25, 2024 to Mar 31, 2025
- HNW clients · 0 to 1Nov 25, 2024 to Mar 31, 2025
- Discretionary RAUM · $134M to $145MNov 25, 2024 to Mar 31, 2025
- HNW RAUM · $0 to $950,000Nov 25, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $353M to $379MNov 25, 2024 to Mar 31, 2025
- Pension RAUM · $459M to $492MNov 25, 2024 to Mar 31, 2025
- RAUM · $486M to $524MNov 25, 2024 to Mar 31, 2025
- Related adviser · true to falseNov 25, 2024 to Mar 31, 2025
- Related insurance company · true to falseNov 25, 2024 to Mar 31, 2025
- Accounts · 45 to 81Feb 16, 2024 to Mar 27, 2024
- Advisory employees · 6 to 2Feb 16, 2024 to Mar 27, 2024
- Charity clients · unset to 0.0Feb 16, 2024 to Mar 27, 2024
- Corporate clients · unset to 0.0Feb 16, 2024 to Mar 27, 2024
- HNW clients · unset to 0.0Feb 16, 2024 to Mar 27, 2024
- Individual clients · unset to 0.0Feb 16, 2024 to Mar 27, 2024
- Pension plan clients · 45 to 79Feb 16, 2024 to Mar 27, 2024
- Pooled vehicle clients · unset to 0.0Feb 16, 2024 to Mar 27, 2024
- Employees · 6 to 2Feb 16, 2024 to Mar 27, 2024
- Insurance-licensed employees · 2 to 0Feb 16, 2024 to Mar 27, 2024
- State-registered IARs · 3 to 2Feb 16, 2024 to Mar 27, 2024
- Discretionary RAUM · $145M to $134MFeb 16, 2024 to Mar 27, 2024
- HNW RAUM · unset to 0.0Feb 16, 2024 to Mar 27, 2024
- Individual RAUM · unset to 0.0Feb 16, 2024 to Mar 27, 2024
- Non-discretionary RAUM · $0 to $353MFeb 16, 2024 to Mar 27, 2024
- Pension RAUM · $145M to $459MFeb 16, 2024 to Mar 27, 2024
- Pooled vehicle RAUM · unset to 0.0Feb 16, 2024 to Mar 27, 2024
- RAUM · $145M to $486MFeb 16, 2024 to Mar 27, 2024
- Accounts · 49 to 45Apr 25, 2022 to Jan 17, 2023
- Advisory employees · 7 to 6Apr 25, 2022 to Jan 17, 2023
- Pension plan clients · 49 to 45Apr 25, 2022 to Jan 17, 2023
- Employees · 7 to 6Apr 25, 2022 to Jan 17, 2023
Signals
11 dated events
- R••••••••• W••••••• G•••• reported RAUM $486.3M, up 235% from $145.3M (2024-02-16 to 2024-03-27)Mar 27, 2024 · RAUM change · derived
- Daniel John Vogelzang (Shareholder & Board Member) no longer on Schedule A of R••••••••• W••••••• G•••• (listed 2024-02-16, absent 2024-03-27)Mar 27, 2024 · Control person left · inference
- Rickard David Penniall (Shareholder & Board Member) no longer on Schedule A of R••••••••• W••••••• G•••• (listed 2024-02-16, absent 2024-03-27)Mar 27, 2024 · Control person left · inference
- B••• G•••• D•••••• (Owner) appeared on Schedule A of R••••••••• W••••••• G••••Mar 27, 2024 · Control person joined · fact
- Warren Yee (Chief Compliance Officer (01/2022)) no longer on Schedule A of R••••••••• W••••••• G•••• (listed 2023-01-19, absent 2024-02-16)Feb 16, 2024 · Control person left · inference
- J••••• M•••••• D••• left R••••••••• W••••••• G•••• for A•• C••••••• L•• (registered 2019-04-12)Jan 18, 2023 · Advisor changed firm · fact
- Warren Yee (Chief Compliance Officer (01/2022)) appeared on Schedule A of R••••••••• W••••••• G••••Mar 7, 2022 · Control person joined · fact
- Michael Justin Dyer (Cio, Coo & Cco) no longer on Schedule A of R••••••••• W••••••• G•••• (listed 2021-08-16, absent 2022-03-07)Mar 7, 2022 · Control person left · inference
- R••••••••• W••••••• G•••• reported RAUM $64.0M, down 82% from $364.1M (2020-06-30 to 2020-07-22)Jul 22, 2020 · RAUM change · derived
- Kim Anne Trinh (Shareholder & Board Member) no longer on Schedule A of R••••••••• W••••••• G•••• (listed 2019-09-20, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
- R••••••••• W••••••• G•••• filed its initial SEC registration (Form ADV)May 16, 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
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 949-757-1799reportedpublic 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
- Institutional managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $263Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026