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••••• C•••• W•••••• L••
Latest filing Aug 21, 2026
First filing on the tape Nov 4, 2019 · 26 filings
SEC status approved since Dec 5, 2019
RAUM
$424M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
88%
$371M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$84.7M
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$424M as of Aug 21, 2026
Jan 31, 2020$247M then
HNW client RAUM$341M as of Aug 21, 2026
Jan 31, 2020$220M then
State-registered IARs (5.B.3)5 as of Aug 21, 2026
Jan 31, 20205 then
Employees (5.A)6 as of Aug 21, 2026
Jan 31, 20209 then
Private funds: no history
RAUM +2.8% over the last fiscal year+15% a year over threeIARs 5 to 5offices 1 to 2
Practice profile
derived from the filing of Aug 21, 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
- RAUM per advisor
- $84.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 58derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $439,971derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 12%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 1.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +2.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Custody
- $221M, 174 clientsreportedItem 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)
- has custody of client securities (9.A.1.b)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$341M81%
- Charitable organizations$33.7M7.9%
- Individuals$29.7M7.0%
- Pension and profit-sharing plans$17.8M4.2%
- Corporations and businesses$1.2M0.3%
- Individual clients
- 152reported
- HNW clients
- 136reported
- Pension plan clients
- 11reported
- Charitable clients
- 5reported
- Accounts
- 963reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $221M for 174 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.88 fund_share=0.0 institutional_share=0.12 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••• T•••• B•••• | Hampstead, Nc | Apr 30, 2019 | 20 y | 2 |
| C•••••• O••• G•••••••• | La Jolla, Ca | Dec 5, 2019 | 15 y | 4 |
| T•••• J• S••••••Certified Financial Planner | La Jolla, Ca | Dec 5, 2019 | 12 y | 1 |
| C•••••• J••• F••••• | La Jolla, Ca | Oct 11, 2024 | 10 y | 0 |
| W•••••• L•• L•••••Certified Financial Planner | Incline Village, Nv | Sep 8, 2025 | 32 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 headcount1 left over 36 months
Left, latest
- J••••• K• R••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jun 5, 2024 · RIA to wirehouse
- C•••••••• M••••••• H•••••• to C••••• F••••••••• L••Sep 30, 2020 · Other
Joined, latest
- W•••••• L•• L••••• from L••••• F••••••••Sep 8, 2025 · Other
- T•••• J• S•••••• from L•• F•••••••• L••Dec 5, 2019 · Affiliated broker-dealer or bank to independent RIA
- C•••••• O••• G•••••••• from L••••• F••••••••Dec 5, 2019 · Other
- C•••••••• M••••••• H•••••• from L•• F•••••••• L••Sep 10, 2019 · Affiliated broker-dealer or bank to independent RIA
- A••• T•••• B•••• from L••••• F••••••••Apr 30, 2019 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from L••••• F••••••••Jan 29, 2021 · La Jolla, Ca · Firm absorbed
- 2 joined from L•• F•••••••• L••Oct 4, 2019 · La Jolla, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••••••• C••••••• O••• · Owner, Managing Member & Principalcontrolsince 01/2019 · owns 75% or more
- S••••••• T••••• J• · Partner And Wealth Managercontrolsince 01/2022 · owns 10% to 25%
- M•••••••• T•••• L••••• · Chief Compliance Officersince 09/2020 · 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 |
|---|---|---|---|---|---|
| La Jolla, Ca · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Hampstead, NC1 employees
What changed
consecutive filings, newest first
- Accounts · 1,055 to 963Nov 20, 2025 to Mar 3, 2026
- HNW clients · 131 to 136Nov 20, 2025 to Mar 3, 2026
- Individual clients · 160 to 152Nov 20, 2025 to Mar 3, 2026
- Pension plan clients · 104 to 11Nov 20, 2025 to Mar 3, 2026
- Assets in custody · $217M to $221MNov 20, 2025 to Mar 3, 2026
- Discretionary RAUM · $412M to $424MNov 20, 2025 to Mar 3, 2026
- HNW RAUM · $301M to $341MNov 20, 2025 to Mar 3, 2026
- Individual RAUM · $31.1M to $29.7MNov 20, 2025 to Mar 3, 2026
- Pension RAUM · $49.3M to $17.8MNov 20, 2025 to Mar 3, 2026
- RAUM · $412M to $424MNov 20, 2025 to Mar 3, 2026
- Other offices · 1 to 2Aug 22, 2025 to Nov 20, 2025
- Advisory activities · 3 to 4Jul 9, 2025 to Aug 22, 2025
- Financial planning clients · 101-250 to 101-250Jun 30, 2025 to Jul 9, 2025
- Charity clients · 4 to 5Mar 31, 2025 to Jun 30, 2025
- Accounts · 954 to 1,055Jul 16, 2024 to Mar 31, 2025
- Advisory employees · 5 to 4Jul 16, 2024 to Mar 31, 2025
- Charity clients · 3 to 4Jul 16, 2024 to Mar 31, 2025
- HNW clients · 128 to 131Jul 16, 2024 to Mar 31, 2025
- Individual clients · 163 to 160Jul 16, 2024 to Mar 31, 2025
- Pension plan clients · 8 to 104Jul 16, 2024 to Mar 31, 2025
- Assets in custody · $148M to $217MJul 16, 2024 to Mar 31, 2025
- Employees · 8 to 6Jul 16, 2024 to Mar 31, 2025
- Discretionary RAUM · $324M to $412MJul 16, 2024 to Mar 31, 2025
- HNW RAUM · $259M to $301MJul 16, 2024 to Mar 31, 2025
- Individual RAUM · $24.1M to $31.1MJul 16, 2024 to Mar 31, 2025
- Pension RAUM · $19.4M to $49.3MJul 16, 2024 to Mar 31, 2025
- RAUM · $324M to $412MJul 16, 2024 to Mar 31, 2025
- HNW clients · 163 to 128Mar 29, 2024 to Jul 16, 2024
- Individual clients · 128 to 163Mar 29, 2024 to Jul 16, 2024
- Other offices · 0 to 1Mar 29, 2024 to Jul 16, 2024
- HNW RAUM · $24.1M to $259MMar 29, 2024 to Jul 16, 2024
- Individual RAUM · $259M to $24.1MMar 29, 2024 to Jul 16, 2024
- Accounts · 947 to 954Feb 29, 2024 to Mar 29, 2024
- Corporate clients · 3 to 2Feb 29, 2024 to Mar 29, 2024
- HNW clients · 130 to 163Feb 29, 2024 to Mar 29, 2024
- Individual clients · 158 to 128Feb 29, 2024 to Mar 29, 2024
- Pension plan clients · 18 to 8Feb 29, 2024 to Mar 29, 2024
- Assets in custody · $180M to $148MFeb 29, 2024 to Mar 29, 2024
- Discretionary RAUM · $282M to $324MFeb 29, 2024 to Mar 29, 2024
- HNW RAUM · $233M to $24.1MFeb 29, 2024 to Mar 29, 2024
Signals
5 dated events
- J••••• K• R••••• left C••••• C•••• W•••••• L•• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2024-10-31)Jun 5, 2024 · Advisor changed firm · fact
- J Tyler Stearns (Partner And Wealth Manager) appeared on Schedule A of C••••• C•••• W•••••• L••Mar 31, 2023 · Control person joined · fact
- Michelle Christina Mitchell (Chief Compliance Officer) no longer on Schedule A of C••••• C•••• W•••••• L•• (listed 2020-05-27, absent 2020-09-30)Sep 30, 2020 · Control person left · inference
- L••••• F•••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Jan 30, 2020 · Succession (Item 4) · fact
- L••••• F•••••••• filed its initial SEC registration (Form ADV)Nov 4, 2019 · 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
- 858-295-1035reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 858-546-1247reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 910-803-0236reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- c•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (858) 546-1247reportedpublic record, Form ADV, Aug 21, 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
- $84.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026