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
W••••• W••••• S••••••••• L••
Latest filing Mar 18, 2026
First filing on the tape Jun 11, 2019 · 8 filings
SEC status approved since Feb 6, 2025
RAUM
$127M
reported, Item 5.F
Discretionary
75%
of RAUM
Private clients
73%
$93.5M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$127M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$127M as of Mar 18, 2026
Jan 7, 2025$128M then
HNW client RAUM$67.9M as of Mar 18, 2026
Jan 7, 2025$58.0M then
State-registered IARs (5.B.3)1 as of Mar 18, 2026
Jan 7, 20251 then
Employees (5.A)2 as of Mar 18, 2026
Jan 7, 20252 then
Private funds: no history
RAUM +2.9% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 18, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $127MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 196derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $998,176derivedHNW RAUM over HNW clients
- Average account
- $405,124derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 75%derivedof RAUM
- Institutional
- 27%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +2.9%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Custody
- $71.2M, 101 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$67.9M53%
- Pension and profit-sharing plans$31.3M25%
- Individuals$25.6M20%
- Charitable organizations$2.5M1.9%
- Individual clients
- 128reported
- HNW clients
- 68reported
- Pension plan clients
- 5reported
- Charitable clients
- 1reported
- Accounts
- 314reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $71.2M for 101 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.73 fund_share=0.0 institutional_share=0.27 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••••• J•••• W••••• | San Luis Obispo, Ca | Jul 11, 2019 | 30 y | 1 |
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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- A••••• J•••• W••••• from N•• A•••••••• L••Jul 11, 2019 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W•••••• A•••••• J•••• · Managing Member & Chief Compliance Officercontrolsince 07/2019 · owns 75% or more
- Z••••• L• · Operations Managersince 07/2019 · owns 25% to 50%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 318 to 314Dec 9, 2025 to Mar 18, 2026
- HNW clients · 61 to 68Dec 9, 2025 to Mar 18, 2026
- Individual clients · 115 to 128Dec 9, 2025 to Mar 18, 2026
- Pension plan clients · 7 to 5Dec 9, 2025 to Mar 18, 2026
- Pooled vehicle clients · 1.0 to unsetDec 9, 2025 to Mar 18, 2026
- Assets in custody · $23.6M to $71.2MDec 9, 2025 to Mar 18, 2026
- Discretionary RAUM · $90.2M to $95.9MDec 9, 2025 to Mar 18, 2026
- HNW RAUM · $56.3M to $67.9MDec 9, 2025 to Mar 18, 2026
- Individual RAUM · $26.8M to $25.6MDec 9, 2025 to Mar 18, 2026
- Non-discretionary RAUM · $33.4M to $31.3MDec 9, 2025 to Mar 18, 2026
- Pension RAUM · $33.4M to $31.3MDec 9, 2025 to Mar 18, 2026
- Pooled vehicle RAUM · 4800000.0 to unsetDec 9, 2025 to Mar 18, 2026
- RAUM · $124M to $127MDec 9, 2025 to Mar 18, 2026
- Accounts · 316 to 318Jan 7, 2025 to Mar 24, 2025
- Assets in custody · $24.0M to $23.6MJan 7, 2025 to Mar 24, 2025
- Financial planning clients · unset to Jan 7, 2025 to Mar 24, 2025
- Discretionary RAUM · $93.2M to $90.2MJan 7, 2025 to Mar 24, 2025
- HNW RAUM · $58.0M to $56.3MJan 7, 2025 to Mar 24, 2025
- Individual RAUM · $27.9M to $26.8MJan 7, 2025 to Mar 24, 2025
- Non-discretionary RAUM · $34.4M to $33.4MJan 7, 2025 to Mar 24, 2025
- Pension RAUM · $34.4M to $33.4MJan 7, 2025 to Mar 24, 2025
- Pooled vehicle RAUM · $5.0M to $4.8MJan 7, 2025 to Mar 24, 2025
- RAUM · $128M to $124MJan 7, 2025 to Mar 24, 2025
- Accounts · 270 to 316Oct 15, 2019 to Jan 7, 2025
- Advisory activities · 4 to 3Oct 15, 2019 to Jan 7, 2025
- Charity clients · unset to 1.0Oct 15, 2019 to Jan 7, 2025
- HNW clients · 28 to 61Oct 15, 2019 to Jan 7, 2025
- Individual clients · 90 to 115Oct 15, 2019 to Jan 7, 2025
- Pension plan clients · 8 to 7Oct 15, 2019 to Jan 7, 2025
- Pooled vehicle clients · 4 to 1Oct 15, 2019 to Jan 7, 2025
- Assets in custody · $5.6M to $24.0MOct 15, 2019 to Jan 7, 2025
- Financial planning clients · 0 to unsetOct 15, 2019 to Jan 7, 2025
- Discretionary RAUM · $49.8M to $93.2MOct 15, 2019 to Jan 7, 2025
- HNW RAUM · $24.0M to $58.0MOct 15, 2019 to Jan 7, 2025
- Individual RAUM · $19.9M to $27.9MOct 15, 2019 to Jan 7, 2025
- Non-discretionary RAUM · $21.9M to $34.4MOct 15, 2019 to Jan 7, 2025
- Pension RAUM · $21.9M to $34.4MOct 15, 2019 to Jan 7, 2025
- Pooled vehicle RAUM · $5.9M to $5.0MOct 15, 2019 to Jan 7, 2025
- RAUM · $71.7M to $128MOct 15, 2019 to Jan 7, 2025
- Insurance-licensed employees · 1 to 0Sep 16, 2019 to Oct 15, 2019
Signals
1 dated events
- W••••• W••••• S••••••••• L•• filed its initial SEC registration (Form ADV)Jun 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
- l•@w•••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 805-592-1221reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 805-592-1222reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- W•••••WS.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 805-592-1221reportedpublic record, Form ADV, Mar 18, 2026
- Team page
- w•••••••.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
- $127Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026