DFX Intelligence
RIA Intelligence
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SEC-registered adviser
M••••••••• W••••• M••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Mar 11, 2019 · 21 filings
SEC status approved since Apr 9, 2019
RAUM
$292M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
98%
$285M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$72.9M
derived; firm RAUM over IAPD count
Employees
6
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$292M as of Mar 31, 2026
Mar 19, 2020$124M then
HNW client RAUM$241M as of Mar 31, 2026
Mar 19, 2020$40.2M then
State-registered IARs (5.B.3)3 as of Mar 31, 2026
Mar 19, 20203 then
Employees (5.A)6 as of Mar 31, 2026
Mar 19, 20203 then
Private funds: no history
RAUM +20% over the last fiscal year+22% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 31, 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
- RAUM per advisor
- $72.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 60derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $308,923derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 2.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 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
- +3.4%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 consulting, selection of other advisersreportedItem 5.G
- Custody
- $57.1M, 170 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$241M83%
- Individuals$44.4M15%
- Pension and profit-sharing plans$6.2M2.1%
- Individual clients
- 118reported
- HNW clients
- 122reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 944reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $57.1M for 170 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P•••••• J••• M••••••••• | San Diego, Ca | Apr 10, 2019 | 25 y | 1 |
| J••••••• B••• M•••••••Chartered Financial Analyst | San Diego, Ca | Apr 10, 2019 | 12 y | 1 |
| J••••••• C•••••• W•••••Certified Financial Planner, Chartered Financial Consultant | San Diego, Ca | Apr 10, 2019 | 10 y | 1 |
| H•••• L••••• C••••• | San Diego, Ca | Jul 28, 2026 | 11 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- H•••• L••••• C••••• from M•••••• C•••••• A•••••••• L••Jul 28, 2026 · RIA to RIA
- P•••••• J••• M••••••••• from A••••••••• F•••••••• S•••••••• L••Apr 10, 2019 · Affiliated broker-dealer or bank to a newly registered adviser
- J••••••• B••• M••••••• from A••••••••• F•••••••• S•••••••• L••Apr 10, 2019 · Affiliated broker-dealer or bank to a newly registered adviser
- J••••••• C•••••• W••••• from A••••••••• F•••••••• S•••••••• L••Apr 10, 2019 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from A••••••••• F•••••••• S•••••••• L••Apr 10, 2019 · Escondido, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••••• P••••••• J••• · Managing Membercontrolsince 04/2018 · owns less than 5%
- M• N•••••••• P••••••• J••• · Trusteecontrolsince 08/2016 · owns 50% to 75% of T•• M••••••••• F••••• L••••• T••••
- M••••••••• J••• · Trusteecontrolsince 08/2016 · owns 50% to 75% of T•• M••••••••• F••••• L••••• T••••
- M•••••••• J•••••••• B• · Chief Compliance Officersince 04/2018 · owns less than 5%
Entity owners
- T•• M••••••••• F••••• L••••• T•••• · Ownerdirect · 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 | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Mar 31, 2026wrap fee program participation (Item 5.I): yes on the filing of 2025-03-10, no on the filing of 2026-03-31peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 875 to 944Mar 10, 2025 to Mar 31, 2026
- HNW clients · 110 to 122Mar 10, 2025 to Mar 31, 2026
- Individual clients · 122 to 118Mar 10, 2025 to Mar 31, 2026
- Assets in custody · $41.5M to $57.1MMar 10, 2025 to Mar 31, 2026
- Discretionary RAUM · $241M to $282MMar 10, 2025 to Mar 31, 2026
- HNW RAUM · $203M to $241MMar 10, 2025 to Mar 31, 2026
- Individual RAUM · $37.0M to $44.4MMar 10, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $2.5M to $10.1MMar 10, 2025 to Mar 31, 2026
- Pension RAUM · $3.4M to $6.2MMar 10, 2025 to Mar 31, 2026
- RAUM · $243M to $292MMar 10, 2025 to Mar 31, 2026
- Wrap assets (manager) · 7693033.0 to unsetMar 10, 2025 to Mar 31, 2026
- Wrap assets (sponsor) · 7693033.0 to unsetMar 10, 2025 to Mar 31, 2026
- Accounts · 824 to 875Aug 21, 2024 to Mar 10, 2025
- Individual clients · 109 to 122Aug 21, 2024 to Mar 10, 2025
- Pension plan clients · 1.0 to unsetAug 21, 2024 to Mar 10, 2025
- Assets in custody · $72.5M to $41.5MAug 21, 2024 to Mar 10, 2025
- Financial planning clients · 0 to 0Aug 21, 2024 to Mar 10, 2025
- Discretionary RAUM · $189M to $241MAug 21, 2024 to Mar 10, 2025
- HNW RAUM · $159M to $203MAug 21, 2024 to Mar 10, 2025
- Individual RAUM · $31.9M to $37.0MAug 21, 2024 to Mar 10, 2025
- Non-discretionary RAUM · $6.5M to $2.5MAug 21, 2024 to Mar 10, 2025
- Pension RAUM · $4.5M to $3.4MAug 21, 2024 to Mar 10, 2025
- RAUM · $195M to $243MAug 21, 2024 to Mar 10, 2025
- Wrap assets (manager) · $187M to $7.7MAug 21, 2024 to Mar 10, 2025
- Wrap assets (sponsor) · $187M to $7.7MAug 21, 2024 to Mar 10, 2025
- Accounts · 797 to 824Sep 21, 2023 to Feb 27, 2024
- HNW clients · 111 to 110Sep 21, 2023 to Feb 27, 2024
- Individual clients · 102 to 109Sep 21, 2023 to Feb 27, 2024
- Pension plan clients · unset to 1.0Sep 21, 2023 to Feb 27, 2024
- Assets in custody · $129M to $72.5MSep 21, 2023 to Feb 27, 2024
- Discretionary RAUM · $159M to $189MSep 21, 2023 to Feb 27, 2024
- HNW RAUM · $134M to $159MSep 21, 2023 to Feb 27, 2024
- Individual RAUM · $26.5M to $31.9MSep 21, 2023 to Feb 27, 2024
- Non-discretionary RAUM · $2.0M to $6.5MSep 21, 2023 to Feb 27, 2024
- Pension RAUM · unset to 4461530.0Sep 21, 2023 to Feb 27, 2024
- RAUM · $161M to $195MSep 21, 2023 to Feb 27, 2024
- Wrap assets (manager) · $161M to $187MSep 21, 2023 to Feb 27, 2024
- Wrap assets (sponsor) · $161M to $187MSep 21, 2023 to Feb 27, 2024
- Accounts · 751 to 797Mar 8, 2022 to Mar 3, 2023
- HNW clients · 71 to 111Mar 8, 2022 to Mar 3, 2023
Signals
1 dated events
- M••••••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Mar 11, 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 email
- i•••@m•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 858-693-2310reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- M•••••••••WEALTHMGMT.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- (858) 693-2310reportedpublic record, Form ADV, Mar 31, 2026
- Contact form
- m•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- m•••••••••.comreportedpublished 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
- $72.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026