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
Spectrum Wealth Advisory Group, LLC
Latest filing Mar 10, 2026
First filing on the tape Aug 22, 2018 · 34 filings
SEC status approved since Sep 21, 2018
RAUM
$445M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$418M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$148M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$445M as of Mar 10, 2026
Jan 30, 2019$128M then
HNW client RAUM$348M as of Mar 10, 2026
Jan 30, 2019$75.9M then
State-registered IARs (5.B.3)4 as of Mar 10, 2026
Jan 30, 20192 then
Employees (5.A)5 as of Mar 10, 2026
Jan 30, 20192 then
Private funds: no history
RAUM +20% over the last fiscal year+24% a year over threeIARs 4 to 4offices 1 to 0
Practice profile
derived from the filing of Mar 10, 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
- $148MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 215derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $293,005derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 6.2%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
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +11%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
- Wrap fee program
- $16.4MreportedItem 5.I
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$348M78%
- Individuals$69.8M16%
- Pension and profit-sharing plans$26.1M5.9%
- Charitable organizations$1.6M0.4%
- Individual clients
- 420reported
- HNW clients
- 226reported
- Pension plan clients
- 10reported
- Charitable clients
- 14reported
- Accounts
- 1,520reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.06 related_bd=false related_bank=false bd_reps=4.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Kenneth Lee ChristieChartered Financial Consultant | Granite Bay, Ca | Sep 21, 2018 | 34 y | 1 |
| Michael Rutherford ThompsonChartered Financial Consultant | Granite Bay, Ca | Jan 30, 2019 | 13 y | 1 |
| Konner L ChristieCertified Financial Planner | Granite Bay, Ca | Jan 1, 2025 | 11 y | 1 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 33% of current headcount1 left over 36 months
Left, latest
- Jason Vesely to LPL Financial LLCJun 23, 2026 · RIA to affiliated broker-dealer or bank
- Mario Landeros to BettermentAug 31, 2023 · RIA to RIA
Joined, latest
- Konner L Christie from Goldman Sachs Wealth Services, L.P.Jan 1, 2025 · Affiliated broker-dealer or bank to independent RIA
- Mario Landeros from Allworth Financial, L.P.Mar 30, 2023 · Affiliated broker-dealer or bank to independent RIA
- Michael Rutherford Thompson from The Wealth Consulting GroupJan 30, 2019 · RIA to RIA
- Kenneth Lee Christie from The Wealth Consulting GroupSep 21, 2018 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from The Wealth Consulting GroupJan 2, 2019 · Las Vegas, Nv
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Lee Kenneth Christie · Chief Compliance Officer & Managing Membercontrolsince 09/2018 · owns 75% or more
- Rutherford Michael Thompson · Partner & Wealth Advisorcontrolsince 03/2019 · owns 5% to 10%
Related persons
Schedule D 7.A
No related person reported.
Advisers that list Spectrum Wealth Advisory Group, LLC as a related person
- 319416 y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Granite Bay, Ca · principal | 3 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- very high RAUM per advisorStatic outlier · filing Mar 10, 2026RAUM per registered advisor of $148,455,802 against a peer median of $55,716,044 (3252 comparable advisers, 99.0th percentile, 3.2 robust deviations)peers: independent wealth managers, $100M to $500M (3,252) · 99% percentile
- account count surgeChange between filings · filing Mar 10, 2026accounts (Item 5.F.2.f) moved from 604.0 to 1,520.0 (+152.0%) between the annual amendments of 2025-03-19 and 2026-03-10; the peer median change was +5.0% (3688 comparable advisers, 99.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,688) · 99% percentile
What changed
consecutive filings, newest first
- Accounts · 604 to 1,520Mar 19, 2025 to Mar 10, 2026
- Charity clients · 11 to 14Mar 19, 2025 to Mar 10, 2026
- HNW clients · 196 to 226Mar 19, 2025 to Mar 10, 2026
- Individual clients · 386 to 420Mar 19, 2025 to Mar 10, 2026
- Pension plan clients · 11 to 10Mar 19, 2025 to Mar 10, 2026
- Employees · 4 to 5Mar 19, 2025 to Mar 10, 2026
- Other offices · 1 to 0Mar 19, 2025 to Mar 10, 2026
- Discretionary RAUM · $370M to $445MMar 19, 2025 to Mar 10, 2026
- HNW RAUM · $281M to $348MMar 19, 2025 to Mar 10, 2026
- Individual RAUM · $64.7M to $69.8MMar 19, 2025 to Mar 10, 2026
- Pension RAUM · $23.1M to $26.1MMar 19, 2025 to Mar 10, 2026
- RAUM · $370M to $445MMar 19, 2025 to Mar 10, 2026
- Accounts · 1,202 to 604Nov 6, 2024 to Mar 19, 2025
- Advisory employees · 3 to 4Nov 6, 2024 to Mar 19, 2025
- BD registered reps · 3 to 4Nov 6, 2024 to Mar 19, 2025
- Charity clients · unset to 11.0Nov 6, 2024 to Mar 19, 2025
- HNW clients · 164 to 196Nov 6, 2024 to Mar 19, 2025
- Individual clients · 360 to 386Nov 6, 2024 to Mar 19, 2025
- Pension plan clients · 6 to 11Nov 6, 2024 to Mar 19, 2025
- Employees · 3 to 4Nov 6, 2024 to Mar 19, 2025
- Financial planning clients · 0 to 0Nov 6, 2024 to Mar 19, 2025
- State-registered IARs · 3 to 4Nov 6, 2024 to Mar 19, 2025
- Other offices · 0 to 1Nov 6, 2024 to Mar 19, 2025
- Discretionary RAUM · $283M to $370MNov 6, 2024 to Mar 19, 2025
- HNW RAUM · $206M to $281MNov 6, 2024 to Mar 19, 2025
- Individual RAUM · $60.5M to $64.7MNov 6, 2024 to Mar 19, 2025
- Pension RAUM · $14.7M to $23.1MNov 6, 2024 to Mar 19, 2025
- RAUM · $283M to $370MNov 6, 2024 to Mar 19, 2025
- Accounts · 1,185 to 1,202Nov 1, 2023 to Feb 23, 2024
- Charity clients · 5.0 to unsetNov 1, 2023 to Feb 23, 2024
- HNW clients · 142 to 164Nov 1, 2023 to Feb 23, 2024
- Individual clients · 378 to 360Nov 1, 2023 to Feb 23, 2024
- Pension plan clients · unset to 6.0Nov 1, 2023 to Feb 23, 2024
- Discretionary RAUM · $236M to $283MNov 1, 2023 to Feb 23, 2024
- HNW RAUM · $165M to $206MNov 1, 2023 to Feb 23, 2024
- Individual RAUM · $60.4M to $60.5MNov 1, 2023 to Feb 23, 2024
- Pension RAUM · $9.5M to $14.7MNov 1, 2023 to Feb 23, 2024
- RAUM · $236M to $283MNov 1, 2023 to Feb 23, 2024
- Accounts · 1,120 to 1,185Oct 20, 2022 to Mar 8, 2023
- HNW clients · 165 to 142Oct 20, 2022 to Mar 8, 2023
Signals
4 dated events
- Jason Vesely left Spectrum Wealth Advisory Group, Llc for Lpl Financial Llc (registered 2026-06-16)Jun 23, 2026 · Advisor changed firm · fact
- Mario Landeros left Spectrum Wealth Advisory Group, Llc for Betterment (registered 2024-03-27)Aug 31, 2023 · Advisor changed firm · fact
- Rutherford Michael Thompson (Partner & Wealth Advisor) appeared on Schedule A of Spectrum Wealth Advisory Group, LlcMar 19, 2020 · Control person joined · fact
- Spectrum Wealth Advisory Group, Llc filed its initial SEC registration (Form ADV)Aug 22, 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
- hello@spectrumw.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 916-772-5970reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 916-774-1521reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- SpectrumW.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- (916) 772-5970reportedpublic record, Form ADV, Mar 10, 2026
- Contact form
- spectrumw.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- spectrumw.com/team-0reportedpublished by the firm, firm site, Sep 15, 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
- $148Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026