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
I••••••••• D••••• A•••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Nov 9, 2018 · 20 filings
SEC status approved since Dec 17, 2018
RAUM
$882M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$842M individuals and HNW
Advisors
16
registered through the firm on IAPD
RAUM per advisor
$55.1M
derived; firm RAUM over IAPD count
Employees
22
11 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$882M as of Mar 31, 2026
Feb 5, 2019$536M then
HNW client RAUM$771M as of Mar 31, 2026
Feb 5, 2019$302M then
State-registered IARs (5.B.3)14 as of Mar 31, 2026
Feb 5, 201917 then
Employees (5.A)22 as of Mar 31, 2026
Feb 5, 201919 then
Private funds: no history
RAUM +6.5% over the last fiscal year+2.9% a year over threeIARs 15 to 14offices 2 to 1
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
- RAUM per advisor
- $55.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 41derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.8MderivedHNW RAUM over HNW clients
- Average account
- $1.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 8.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- -6.7%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -25%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companies, pension consulting, educational seminarsreportedItem 5.G
- Custody
- $284M, 306 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
- is an insurance broker or agent (6.A.6)
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$771M87%
- Individuals$70.5M8.0%
- Investment companies$29.5M3.3%
- Pension and profit-sharing plans$5.5M0.6%
- Corporations and businesses$4.4M0.5%
- Charitable organizations$891,0250.1%
- Individual clients
- 228reported
- HNW clients
- 421reported
- Pension plan clients
- 4reported
- Charitable clients
- 2reported
- Accounts
- 659reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $284M for 306 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.95 fund_share=0.03 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
16 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• E••••• P••••••• | Carlsbad, Ca | Jan 3, 2019 | 15 y | 3 |
| A••• K•••••••••Certified Financial Planner | Carlsbad, Ca | Jan 3, 2019 | 14 y | 1 |
| S••••• B••••• W•••••• | Carlsbad, Ca | Apr 7, 2021 | 9 y | 0 |
| D•••• B•••••• R••••Certified Financial Planner | Carlsbad, Ca | Jan 24, 2022 | 11 y | 0 |
| B•••• C•••••••• P••••••• | Carlsbad, Ca | May 19, 2023 | 14 y | 0 |
| D•••• L••• | Murrieta, Ca | Aug 23, 2023 | 19 y | 0 |
| C••• J•••••• G••••••••Personal Financial Specialist | Carlsbad, Ca | Oct 19, 2023 | 27 y | 3 |
| T••••• O•••••••• | Carlsbad, Ca | Jan 1, 2025 | 11 y | 1 |
| D•••• J•••• W••••••••Certified Financial Planner | Summerland Key, Fl | Jan 1, 2025 | 25 y | 5 |
| J••••• E•••••••• C•••••••• | Carlsbad, Ca | Apr 28, 2025 | 17 y | 3 |
| B••••••• N••••• P••••• | Carlsbad, Ca | Jan 9, 2026 | 14 y | 1 |
| J•••• R•••••• L•••••Certified Financial Planner | Carlsbad, Ca | Jan 12, 2026 | 29 y | 5 |
| M••••• P••••••• | Carlsbad, Ca | Jan 23, 2026 | 10 y | 0 |
| S••••• D••••• | Carlsbad, Ca | Apr 9, 2026 | 14 y | 0 |
| H••••• P•••••• D•••••Certified Financial Planner, Chartered Financial Analyst | Carlsbad, Ca | May 14, 2026 | 12 y | 2 |
| M••••••• R•••• | Carlsbad, Ca | Jul 17, 2026 | 12 y | 0 |
Advisor movement
1 left, 3 joined in 12 months
net +2 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 6.3% of current headcount7 left over 36 months
Left, latest
- B••••• J••• M•••••• to M•••••• F•••••••• S•••••••••Nov 14, 2025 · RIA to RIA
- R••••••• R••• H••• to A•••• I••••••••• P•••••••• L••Sep 19, 2024 · RIA to RIA
- J•••• A•••••• P•••••• to N•••••• A•••••••Sep 18, 2024 · RIA to affiliated broker-dealer or bank
- D•••• B•••••••• to L••••••••• L••Sep 18, 2024 · Other
- F•••• G•••••• to N•••••• A•••••••Sep 18, 2024 · RIA to affiliated broker-dealer or bank
- D••••• A••• E•••• to L••••••••• L••Sep 18, 2024 · Other
- L•••• D••• R••••• to N•••••• W•••••• L••Feb 7, 2024 · RIA to RIA
- T••• E••••• W•••••• to E•••••••• F•••••••• S•••••••Sep 5, 2023 · RIA to a state-registered adviser
- A••••• P•••••• G•••• to K•••• A••••••• R•••••• I••••••••• M••••••••• L••Mar 31, 2023 · Other
- C••• L•••• to S•••••••• L••Aug 13, 2020 · RIA to RIA
- K••••••• M•••• S••••• to J• W• C••• A•••••••• I•••Aug 16, 2019 · RIA to RIA
- L••••• A•• V••••• to J• W• C••• A•••••••• I•••Jun 11, 2019 · RIA to affiliated broker-dealer or bank
- K••• A•••• C•••••• to T••••••••• R••••••••• A•••••••• L••Jun 5, 2019 · RIA to affiliated broker-dealer or bank
Joined, latest
- H••••• P•••••• D••••• from M••••• W•••••May 14, 2026 · RIA to RIA
- J•••• R•••••• L••••• from L••••• W••••• M••••••••• L••Jan 12, 2026 · RIA to RIA
- B••••••• N••••• P••••• from E•••••••• A•••••••• L••Jan 9, 2026 · Affiliated broker-dealer or bank to independent RIA
- J••••• E•••••••• C•••••••• from L••••• W••••• M••••••••• L••Apr 28, 2025 · RIA to RIA
- D•••• J•••• W•••••••• from L••••• W••••• M••••••••• L••Jan 1, 2025 · RIA to RIA
- T••••• O•••••••• from L••••• W••••• M••••••••• L••Jan 1, 2025 · RIA to RIA
- C••• J•••••• G•••••••• from G••••• W••••• M••••••••• I•••Oct 19, 2023 · Affiliated broker-dealer or bank to independent RIA
- L•••• D••• R••••• from S•••••• H•••• W••••• M•••••••••Apr 25, 2023 · RIA to RIA
- T••• E••••• W•••••• from C••••• I••••••••• A••••••• L••Jan 2, 2023 · Affiliated broker-dealer or bank to independent RIA
- C••• L•••• from F••••• I•••••••••Aug 11, 2020 · Other
- J•••• A•••••• P•••••• from L••••••••• L••Feb 8, 2019 · Other
- D•••• B•••••••• from L••••••••• L••Feb 8, 2019 · Other
- F•••• G•••••• from L••••••••• L••Feb 8, 2019 · Other
- D••••• A••• E•••• from L••••••••• L••Feb 8, 2019 · Other
- A••••• P•••••• G•••• from L••••• W••••• M••••••••• L••Jan 3, 2019 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for N•••••• A•••••••Sep 18, 2024 · Carlsbad, Ca
- 2 left for L••••••••• L••Sep 18, 2024 · Carlsbad, Ca
- 8 joined from L••••• W••••• M••••••••• L••Mar 1, 2019 · Carlsbad, Ca · Firm absorbed
- 2 joined from L••••• W••••• M••••••••• L••Mar 1, 2019 · Summerland Key, Fl
- 3 joined from L••••••••• L••Feb 14, 2019 · Scottsdale, Az · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••••• J•••••• E•••••••• · Chief Compliance Officercontrolsince 11/2018 · owns less than 5%
- K••••••••• A••• · Presidentcontrolsince 11/2018 · owns less than 5%
- L•••••• J••••• R•••••• · Founder & Ceocontrolsince 11/2018 · owns less than 5%
- L•••••• J••••• R•••••• · Founder & Ceocontrolsince 06/2009 · owns 75% or more of L••••• W••••• M••••••••• L••
Entity owners
- L••••• W••••• M••••••••• L•• · Majority Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Carlsbad, Ca · principal | 16 | 6 | 1 | ||
| Murrieta, Ca | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Fort Worth, TX2 employees
- Murrieta, CA2 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Mar 31, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $828,210,292 to $881,932,987, advisors 15 to 14, private clients 868 to 649, offices 2 to 1 (2025-03-28 to 2026-03-31)peers: independent wealth managers, $500M to $1B (1,482)
What changed
consecutive filings, newest first
- Accounts · 879 to 659Jan 24, 2026 to Mar 31, 2026
- Advisory employees · 13 to 11Jan 24, 2026 to Mar 31, 2026
- Advisory activities · 5 to 6Jan 24, 2026 to Mar 31, 2026
- Corporate clients · 7 to 4Jan 24, 2026 to Mar 31, 2026
- HNW clients · 436 to 421Jan 24, 2026 to Mar 31, 2026
- Individual clients · 432 to 228Jan 24, 2026 to Mar 31, 2026
- Assets in custody · $294M to $284MJan 24, 2026 to Mar 31, 2026
- Employees · 24 to 22Jan 24, 2026 to Mar 31, 2026
- State-registered IARs · 15 to 14Jan 24, 2026 to Mar 31, 2026
- Discretionary RAUM · $828M to $882MJan 24, 2026 to Mar 31, 2026
- HNW RAUM · $742M to $771MJan 24, 2026 to Mar 31, 2026
- Individual RAUM · $72.9M to $70.5MJan 24, 2026 to Mar 31, 2026
- Pension RAUM · $7.1M to $5.5MJan 24, 2026 to Mar 31, 2026
- RAUM · $828M to $882MJan 24, 2026 to Mar 31, 2026
- Other offices · 2 to 1Sep 11, 2025 to Dec 9, 2025
- Accounts · 1,002 to 879Sep 26, 2024 to Mar 28, 2025
- Advisory employees · 12 to 13Sep 26, 2024 to Mar 28, 2025
- Charity clients · 4 to 2Sep 26, 2024 to Mar 28, 2025
- HNW clients · 299 to 436Sep 26, 2024 to Mar 28, 2025
- Individual clients · 566 to 432Sep 26, 2024 to Mar 28, 2025
- Pension plan clients · 9 to 4Sep 26, 2024 to Mar 28, 2025
- Assets in custody · $380M to $294MSep 26, 2024 to Mar 28, 2025
- Employees · 17 to 24Sep 26, 2024 to Mar 28, 2025
- Financial planning clients · 251-500 to 251-500Sep 26, 2024 to Mar 28, 2025
- State-registered IARs · 13 to 15Sep 26, 2024 to Mar 28, 2025
- Discretionary RAUM · $978M to $828MSep 26, 2024 to Mar 28, 2025
- HNW RAUM · $716M to $742MSep 26, 2024 to Mar 28, 2025
- Individual RAUM · $200M to $72.9MSep 26, 2024 to Mar 28, 2025
- Pension RAUM · $26.8M to $7.1MSep 26, 2024 to Mar 28, 2025
- RAUM · $978M to $828MSep 26, 2024 to Mar 28, 2025
- Advisory employees · 16 to 12Mar 23, 2024 to Sep 26, 2024
- Employees · 18 to 17Mar 23, 2024 to Sep 26, 2024
- Insurance-licensed employees · 4 to 0Mar 23, 2024 to Sep 26, 2024
- State-registered IARs · 17 to 13Mar 23, 2024 to Sep 26, 2024
- Other offices · 3 to 2Mar 23, 2024 to Sep 26, 2024
- Related adviser · true to falseMar 23, 2024 to Sep 26, 2024
- Accounts · 1,009 to 1,002Jul 27, 2023 to Mar 23, 2024
- Advisory employees · 15 to 16Jul 27, 2023 to Mar 23, 2024
- BD registered reps · 2 to 0Jul 27, 2023 to Mar 23, 2024
- Charity clients · 6 to 4Jul 27, 2023 to Mar 23, 2024
Signals
15 dated events
- B••••• J••• M•••••• left I••••••••• D••••• A•••••••• L•• for M•••••• F•••••••• S••••••••• (registered 2025-10-17)Nov 14, 2025 · Advisor changed firm · fact
- Anthony James Pupillo (Minority Owner) no longer on Schedule A of I••••••••• D••••• A•••••••• L•• (listed 2024-03-23, absent 2024-09-26)Sep 26, 2024 · Control person left · inference
- R••••••• R••• H••• left I••••••••• D••••• A•••••••• L•• for A•••• I••••••••• P•••••••• L•• (registered 2024-11-22)Sep 19, 2024 · Advisor changed firm · fact
- D••••• A••• E•••• left I••••••••• D••••• A•••••••• L•• for L••••••••• L•• (registered 2019-05-29)Sep 18, 2024 · Advisor changed firm · fact
- D•••• B•••••••• left I••••••••• D••••• A•••••••• L•• for L••••••••• L•• (registered 2019-05-29)Sep 18, 2024 · Advisor changed firm · fact
- F•••• G•••••• left I••••••••• D••••• A•••••••• L•• for N•••••• A••••••• (registered 2024-09-18)Sep 18, 2024 · Advisor changed firm · fact
- J•••• A•••••• P•••••• left I••••••••• D••••• A•••••••• L•• for N•••••• A••••••• (registered 2024-09-18)Sep 18, 2024 · Advisor changed firm · fact
- 2 advisors left I••••••••• D••••• A•••••••• L•• (Carlsbad, CA) for N•••••• A••••••• on the same daySep 18, 2024 · Team lift-out · derived
- 2 advisors left I••••••••• D••••• A•••••••• L•• (Carlsbad, CA) for L••••••••• L•• on the same daySep 18, 2024 · Team lift-out · derived
- L•••• D••• R••••• left I••••••••• D••••• A•••••••• L•• for N•••••• W•••••• L•• (registered 2026-05-21)Feb 7, 2024 · Advisor changed firm · fact
- T••• E••••• W•••••• left I••••••••• D••••• A•••••••• L•• for E•••••••• F•••••••• S••••••• (registered 2024-08-01)Sep 5, 2023 · Advisor changed firm · fact
- A••••• P•••••• G•••• left I••••••••• D••••• A•••••••• L•• for K•••• A••••••• R•••••• I••••••••• M••••••••• L•• (registered 2023-04-20)Mar 31, 2023 · Advisor changed firm · fact
- I••••••••• D••••• A•••••••• L•• reported 5 offices beyond its principal office, up from 0 (2019-01-03 to 2019-02-05)Feb 5, 2019 · Office count change · derived
- I••••••••• D••••• A•••••••• L•• reported 17 state-registered advisory representatives, up from 3 (2019-01-03 to 2019-02-05)Feb 5, 2019 · Advisor headcount change · derived
- I••••••••• D••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Nov 9, 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
- Firm profile
- LINKEDIN.COM/COMPANY/IDAWEALTHreportedpublic record, Form ADV, Sep 18, 2026
- Website
- IDAWEALTH.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (888) 401-2083reportedpublic record, Form ADV, Mar 31, 2026
- Team page
- IDAWEALTH.COM/teamreportedpublished 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
- $55.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026