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.
SEC-registered adviser
Platt Wealth Management
Legal name Platt Wealth Management, LLC
Latest filing Feb 1, 2026
First filing on the tape Jun 7, 2018 · 19 filings
SEC status approved since Jul 6, 2018
RAUM
$391M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
93%
$363M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$130M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$391M as of Feb 1, 2026
Mar 11, 2019$165M then
HNW client RAUM$319M as of Feb 1, 2026
Mar 11, 2019$119M then
State-registered IARs (5.B.3)3 as of Feb 1, 2026
Mar 11, 20192 then
Employees (5.A)5 as of Feb 1, 2026
Mar 11, 20193 then
Private funds: no history
RAUM +14% over the last fiscal year+14% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Feb 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
- 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
- $130MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 66derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.1MderivedHNW RAUM over HNW clients
- Average account
- $589,192derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 7.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.3%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$319M82%
- Individuals$43.9M11%
- Pension and profit-sharing plans$28.0M7.2%
- Individual clients
- 119reported
- HNW clients
- 78reported
- Pension plan clients
- 8reported
- Charitable clients
- n/areported
- Accounts
- 663reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.07 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Jeffrey Samuel PlattCertified Financial Planner, Chartered Financial Analyst | San Diego, Ca | Jul 6, 2018 | 22 y | 3 |
| Kai Hiram Kramer | San Diego, Ca | May 25, 2022 | 10 y | 0 |
| James Curtis WestCertified Financial Planner | San Diego, Ca | Jan 1, 2025 | 20 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
- Martin Gabriel Rascon to Weatherly Asset ManagementOct 11, 2022 · RIA to RIA
Joined, latest
- James Curtis West from Reilly Financial AdvisorsJan 1, 2025 · RIA to RIA
- Jeffrey Samuel Platt from Wealth Quest Partners, Inc.Jul 6, 2018 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Samuel Jeffrey Platt · Chief Compliance Officer/Principalcontrolsince 05/2018 · 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 |
|---|---|---|---|---|---|
| San Diego, Ca · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 598 to 663Oct 29, 2025 to Feb 1, 2026
- HNW clients · 81 to 78Oct 29, 2025 to Feb 1, 2026
- Individual clients · 106 to 119Oct 29, 2025 to Feb 1, 2026
- Pension plan clients · 6 to 8Oct 29, 2025 to Feb 1, 2026
- Employees · 6 to 5Oct 29, 2025 to Feb 1, 2026
- Financial planning clients · 26-50 to 11-25Oct 29, 2025 to Feb 1, 2026
- Discretionary RAUM · $341M to $391MOct 29, 2025 to Feb 1, 2026
- HNW RAUM · $283M to $319MOct 29, 2025 to Feb 1, 2026
- Individual RAUM · $34.7M to $43.9MOct 29, 2025 to Feb 1, 2026
- Pension RAUM · $24.0M to $28.0MOct 29, 2025 to Feb 1, 2026
- RAUM · $341M to $391MOct 29, 2025 to Feb 1, 2026
- Financial planning clients · 26-50 to 26-50Jan 16, 2025 to Jun 17, 2025
- Accounts · 511 to 598Mar 5, 2024 to Jan 16, 2025
- HNW clients · 70 to 81Mar 5, 2024 to Jan 16, 2025
- Individual clients · 97 to 106Mar 5, 2024 to Jan 16, 2025
- Financial planning clients · 11-25 to 26-50Mar 5, 2024 to Jan 16, 2025
- Discretionary RAUM · $295M to $341MMar 5, 2024 to Jan 16, 2025
- HNW RAUM · $224M to $283MMar 5, 2024 to Jan 16, 2025
- Individual RAUM · $48.3M to $34.7MMar 5, 2024 to Jan 16, 2025
- Pension RAUM · $21.2M to $24.0MMar 5, 2024 to Jan 16, 2025
- RAUM · $295M to $341MMar 5, 2024 to Jan 16, 2025
- Accounts · 449 to 511Mar 16, 2023 to Mar 5, 2024
- Corporate clients · 1.0 to unsetMar 16, 2023 to Mar 5, 2024
- HNW clients · 65 to 70Mar 16, 2023 to Mar 5, 2024
- Individual clients · 88 to 97Mar 16, 2023 to Mar 5, 2024
- Employees · 5 to 6Mar 16, 2023 to Mar 5, 2024
- Discretionary RAUM · $267M to $295MMar 16, 2023 to Mar 5, 2024
- HNW RAUM · $224M to $224MMar 16, 2023 to Mar 5, 2024
- Individual RAUM · $25.5M to $48.3MMar 16, 2023 to Mar 5, 2024
- Pension RAUM · $16.9M to $21.2MMar 16, 2023 to Mar 5, 2024
- RAUM · $267M to $295MMar 16, 2023 to Mar 5, 2024
- Accounts · 414 to 449Feb 10, 2022 to Mar 16, 2023
- Corporate clients · 2 to 1Feb 10, 2022 to Mar 16, 2023
- HNW clients · 52 to 65Feb 10, 2022 to Mar 16, 2023
- Individual clients · 93 to 88Feb 10, 2022 to Mar 16, 2023
- Pension plan clients · 10 to 6Feb 10, 2022 to Mar 16, 2023
- Financial planning clients · 1-10 to 11-25Feb 10, 2022 to Mar 16, 2023
- Discretionary RAUM · $262M to $267MFeb 10, 2022 to Mar 16, 2023
- HNW RAUM · $207M to $224MFeb 10, 2022 to Mar 16, 2023
- Individual RAUM · $35.5M to $25.5MFeb 10, 2022 to Mar 16, 2023
Signals
3 dated events
- Martin Gabriel Rascon left Platt Wealth Management for Weatherly Asset Management (registered 2022-10-11)Oct 11, 2022 · Advisor changed firm · fact
- Platt Wealth Management reported succeeding to the business of Another Adviser (Form ADV Item 4)Nov 11, 2019 · Succession (Item 4) · fact
- Platt Wealth Management filed its initial SEC registration (Form ADV)Jun 7, 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 email
- info@plattwm.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 619-255-9554reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- Linkedin.com/company/platt-wealth-managementreportedpublic record, Form ADV, Sep 18, 2026
- Website
- plattwm.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 619-255-9554reportedpublic record, Form ADV, Feb 1, 2026
- Contact form
- plattwealthmanagement.com/contact-usreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- plattwealthmanagement.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
- $130Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026