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••• W••••• M•••••••••
Legal name C••• W••••• M••••••••• I•••
Latest filing Aug 5, 2026
First filing on the tape Feb 21, 2024 · 15 filings
SEC status approved since Mar 22, 2024
RAUM
$209M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
96%
$199M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$29.8M
derived; firm RAUM over IAPD count
Employees
7
7 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$209M as of Aug 5, 2026
Feb 18, 2025$175M then
HNW client RAUM$134M as of Aug 5, 2026
Feb 18, 2025$103M then
State-registered IARs (5.B.3)7 as of Aug 5, 2026
Feb 18, 20258 then
Employees (5.A)7 as of Aug 5, 2026
Feb 18, 20258 then
Private funds: no history
RAUM +19% over the last fiscal yearIARs 8 to 7offices 3 to 4
Practice profile
derived from the filing of Aug 5, 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
- RAUM per advisor
- $29.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 50derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $231,186derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 3.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.4derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +19%derivedbetween the last two annual amendments
- Advisor growth, one year
- -13%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.1%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 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)
- 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$134M64%
- Individuals$65.1M31%
- Pension and profit-sharing plans$6.4M3.0%
- Corporations and businesses$3.0M1.4%
- Individual clients
- 289reported
- HNW clients
- 58reported
- Pension plan clients
- 16reported
- Charitable clients
- 0reported
- Accounts
- 903reported
- Financial planning clients
- 251-500reported
- 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=0.03 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• S•••• W••••Chartered Financial Consultant | Lakeside, Ca | Jan 4, 2019 | 27 y | 3 |
| C•••••• B••••••• D•••••••• | Lakeside, Ca | Jan 4, 2019 | 25 y | 3 |
| P•••••• A• J••••Certified Financial Planner | Lakeside, Ca | Jan 4, 2019 | 21 y | 2 |
| C••• W•••••• D••••••••Certified Financial Planner | Lakeside, Ca | Jan 4, 2019 | 10 y | 1 |
| C••••• L••• S••••••Certified Financial Planner | Lakeside, Ca | Jan 4, 2019 | 34 y | 6 |
| S•••• C••••••••• C••••••• | Lakeside, Ca | Feb 6, 2020 | 18 y | 2 |
| J••••• P•••••• | New Braunfels, Tx | Apr 28, 2020 | 17 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 headcount1 left over 36 months
Left, latest
- J•••••• J••• C••••••• to E•••••• F••••••••• L••Oct 2, 2024 · RIA to a state-registered adviser
Joined, latest
- J••••• P•••••• from L••••• W••••• A•••••••• I•••Apr 28, 2020 · RIA to RIA
- S•••• C••••••••• C••••••• from H•••• I••••••••• M•••••••••Feb 6, 2020 · Other
- C•••••• B••••••• D•••••••• from I••••••••• F•••••••• G••••• L••Jan 4, 2019 · Other
- P•••••• A• J•••• from I••••••••• F•••••••• G••••• L••Jan 4, 2019 · Other
- C••••• L••• S•••••• from C•••••• F•••••••• C••••••••• G••••• I•••Jan 4, 2019 · RIA to RIA
- M•••••• S•••• W•••• from C•••••• F•••••••• C••••••••• G••••• I•••Jan 4, 2019 · RIA to RIA
- C••• W•••••• D•••••••• from C•••••• F•••••••• C••••••••• G••••• I•••Jan 4, 2019 · RIA to RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from C•••••• F•••••••• C••••••••• G••••• I•••Feb 28, 2020 · San Diego, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••• D•••••• O••• · Chief Financial Officercontrolsince 09/2018 · owns 25% to 50%
- J••••• P••••••• A• · Chief Compliance Officercontrolsince 09/2018 · owns 25% to 50%
- W••••• M••••••• S•••• · Chief Executive Officercontrolsince 09/2018 · owns 25% to 50%
Related persons
Schedule D 7.A
- C••• I•••••••• S•••••••• I•••real estatey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Lakeside, Ca · principal | 7 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Hayden, ID3 employees
- San Diego, CA1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 859 to 903Dec 16, 2025 to Mar 9, 2026
- Corporate clients · 18 to 15Dec 16, 2025 to Mar 9, 2026
- HNW clients · 49 to 58Dec 16, 2025 to Mar 9, 2026
- Individual clients · 291 to 289Dec 16, 2025 to Mar 9, 2026
- Pension plan clients · 9 to 16Dec 16, 2025 to Mar 9, 2026
- Financial planning clients · 101-250 to 251-500Dec 16, 2025 to Mar 9, 2026
- Discretionary RAUM · $170M to $202MDec 16, 2025 to Mar 9, 2026
- HNW RAUM · $103M to $134MDec 16, 2025 to Mar 9, 2026
- Individual RAUM · $63.7M to $65.1MDec 16, 2025 to Mar 9, 2026
- Non-discretionary RAUM · $5.4M to $6.4MDec 16, 2025 to Mar 9, 2026
- Pension RAUM · $3.8M to $6.4MDec 16, 2025 to Mar 9, 2026
- RAUM · $175M to $209MDec 16, 2025 to Mar 9, 2026
- Employees · 8 to 7Jul 31, 2025 to Dec 16, 2025
- State-registered IARs · 8 to 7Jul 31, 2025 to Dec 16, 2025
- Financial planning clients · 101-250 to 101-250Apr 7, 2025 to Jul 31, 2025
- Other offices · 3 to 4Apr 7, 2025 to Jul 31, 2025
- Accounts · 909 to 859Nov 11, 2024 to Feb 18, 2025
- Corporate clients · 7 to 18Nov 11, 2024 to Feb 18, 2025
- HNW clients · 30 to 49Nov 11, 2024 to Feb 18, 2025
- Individual clients · 260 to 291Nov 11, 2024 to Feb 18, 2025
- Pension plan clients · 2 to 9Nov 11, 2024 to Feb 18, 2025
- Financial planning clients · 1-10 to 101-250Nov 11, 2024 to Feb 18, 2025
- Discretionary RAUM · $111M to $170MNov 11, 2024 to Feb 18, 2025
- HNW RAUM · $52.9M to $103MNov 11, 2024 to Feb 18, 2025
- Individual RAUM · $59.2M to $63.7MNov 11, 2024 to Feb 18, 2025
- Non-discretionary RAUM · $3.5M to $5.4MNov 11, 2024 to Feb 18, 2025
- Pension RAUM · $1.3M to $3.8MNov 11, 2024 to Feb 18, 2025
- RAUM · $114M to $175MNov 11, 2024 to Feb 18, 2025
- Advisory employees · 8 to 7Aug 12, 2024 to Oct 2, 2024
- Employees · 9 to 8Aug 12, 2024 to Oct 2, 2024
- Insurance-licensed employees · 1 to 0Aug 12, 2024 to Oct 2, 2024
- State-registered IARs · 9 to 8Aug 12, 2024 to Oct 2, 2024
- Advisory employees · 9 to 8Mar 8, 2024 to Mar 8, 2024
- Employees · 10 to 9Mar 8, 2024 to Mar 8, 2024
- State-registered IARs · 10 to 9Mar 8, 2024 to Mar 8, 2024
Signals
2 dated events
- J•••••• J••• C••••••• left C••• W••••• M••••••••• for E•••••• F••••••••• L•• (registered 2022-01-24)Oct 2, 2024 · Advisor changed firm · fact
- C••• W••••• M••••••••• filed its initial SEC registration (Form ADV)Feb 21, 2024 · 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@cavuwm.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- cdenherder@cavuwm.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 208-255-2766reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 619-616-1868reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 760-644-0100reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/cavu-wealth-managementreportedpublic record, Form ADV, Sep 18, 2026
- Website
- cavuwm.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 858-360-7800reportedpublic record, Form ADV, Aug 5, 2026
- Contact form
- cavuwm.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- cavuwm.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
- $29.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026