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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Former SEC-registered adviser

W•••••••• A••••••• L••

Former SEC-registered adviserSan Ramon, CaliforniaCRD 301663SEC 801-116724IAPD
Latest filing Sep 26, 2019
First filing on the tape May 1, 2019 · 12 filings
RAUM
$10.8M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$10.8M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$10.8M as of Sep 26, 2019
May 1, 2019$0 then
HNW client RAUM$10.0M as of Sep 26, 2019
Sep 3, 2019$10.0M then
State-registered IARs (5.B.3)2 as of Sep 26, 2019
May 1, 20191 then
Employees (5.A)2 as of Sep 26, 2019
May 1, 20192 then
Private funds: no history
Practice profile
derived from the filing of Sep 26, 2019; every figure names its basis
RAUM per advisor
$5.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$454,455derivedHNW RAUM over HNW clients
Average account
$318,706derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
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
$9.4MreportedItem 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$10.0M92%
  • Individuals$838,0007.7%
Individual clients
n/areported
HNW clients
22reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
34reported
Financial planning clients
0reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • D••••••••• J•• · Managing Membercontrol
    since 05/2019 · owns 50% to 75%
  • D••••••••• V••••• K••••••••• · Chief Compliance Officercontrol
    since 05/2019 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
San Ramon, Ca · principal000
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 0 to 34
    Aug 21, 2019 to Sep 3, 2019
  • Advisory activities · 5 to 4
    Aug 21, 2019 to Sep 3, 2019
  • HNW clients · unset to 22.0
    Aug 21, 2019 to Sep 3, 2019
  • Discretionary RAUM · $0 to $10.8M
    Aug 21, 2019 to Sep 3, 2019
  • HNW RAUM · unset to 9998000.0
    Aug 21, 2019 to Sep 3, 2019
  • Individual RAUM · unset to 838000.0
    Aug 21, 2019 to Sep 3, 2019
  • RAUM · $0 to $10.8M
    Aug 21, 2019 to Sep 3, 2019
  • Advisory employees · 1 to 2
    Jun 25, 2019 to Aug 21, 2019
  • State-registered IARs · 1 to 2
    Jun 25, 2019 to Aug 21, 2019
  • HQ city · unset to SAN RAMON
    Aug 21, 2019 to Aug 21, 2019
  • HQ state · unset to CA
    Aug 21, 2019 to Aug 21, 2019
  • Advisory activities · 3 to 5
    May 23, 2019 to Jun 3, 2019
  • Business name · W•••••••• C••••••• L•• to W•••••••• A••••••• L••
    May 1, 2019 to May 23, 2019
  • Financial planning clients · unset to 0
    May 1, 2019 to May 23, 2019
  • Legal name · W•••••••• C••••••• L•• to W•••••••• A••••••• L••
    May 1, 2019 to May 23, 2019
Signals
2 dated events
  • J•• D••••••••• left W•••••••• A••••••• L•• for C••••• P••••••• P••••••• (registered 2025-03-31)
    Mar 31, 2025 · Advisor changed firm · fact
  • W•••••••• C••••••• L•• filed its initial SEC registration (Form ADV)
    May 1, 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.
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
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026