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••••• C•••••• G••••
Legal name C••••• C•••••• A•••••••• L••
Latest filing Feb 17, 2026
First filing on the tape Jul 19, 2019 · 31 filings
SEC status approved since Aug 16, 2019
RAUM
$283M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$280M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$70.7M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$283M as of Feb 17, 2026
Mar 18, 2020$144M then
HNW client RAUM$242M as of Feb 17, 2026
Mar 18, 2020$134M then
State-registered IARs (5.B.3)4 as of Feb 17, 2026
Mar 18, 20204 then
Employees (5.A)4 as of Feb 17, 2026
Mar 18, 20204 then
Private funds: no history
RAUM +14% over the last fiscal year+20% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Feb 17, 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
- $70.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 52derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.1MderivedHNW RAUM over HNW clients
- Average account
- $563,486derivedRAUM 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
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.7%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $56.3M, 53 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)
- 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$242M86%
- Individuals$38.1M13%
- Corporations and businesses$2.7M1.0%
- Individual clients
- 149reported
- HNW clients
- 59reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 502reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $56.3M for 53 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C•••••• W•••• C••••• | Encinitas, Ca | Sep 17, 2019 | 29 y | 1 |
| K••• W•••••• S•••• | Encinitas, Ca | Jan 30, 2020 | 12 y | 0 |
| N••• M•••• | Encinitas, Ca | Apr 4, 2023 | 14 y | 0 |
| P••••• R••• J•••••• | Encinitas, Ca | Jan 1, 2025 | 10 y | 0 |
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
- J•••• M•••••• S••• to L•• F•••••••• L••Apr 30, 2020 · RIA to affiliated broker-dealer or bank
Joined, latest
- C•••••• W•••• C••••• from N••••••••• M••••• W••••• M••••••••• C••••••Sep 17, 2019 · Other
- J•••• M•••••• S••• from C•••••• C••••• G••••• I•••Sep 16, 2019 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••• C••••••• W•••• · Founder, Chief Compliance Officer And Ceocontrolsince 09/2019 · owns 75% or more
- J••••••• P•••••• R••• · Managing Member & Chief Operating Officersince 09/2019 · owns 10% to 25%
- S••••• K•••• W•••••• · Managing Membersince 09/2019 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Encinitas, Ca · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Feb 17, 2026HNW share of RAUM moved from 16.0% to 86.0% between the annual amendments of 2025-03-13 and 2026-02-17peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 467 to 502Mar 13, 2025 to Feb 17, 2026
- Corporate clients · 5.0 to unsetMar 13, 2025 to Feb 17, 2026
- HNW clients · 46 to 59Mar 13, 2025 to Feb 17, 2026
- Assets in custody · $51.2M to $56.3MMar 13, 2025 to Feb 17, 2026
- Discretionary RAUM · $248M to $283MMar 13, 2025 to Feb 17, 2026
- HNW RAUM · $39.5M to $242MMar 13, 2025 to Feb 17, 2026
- Individual RAUM · $199M to $38.1MMar 13, 2025 to Feb 17, 2026
- RAUM · $248M to $283MMar 13, 2025 to Feb 17, 2026
- Accounts · 441 to 467Feb 2, 2024 to Mar 13, 2025
- Corporate clients · unset to 5.0Feb 2, 2024 to Mar 13, 2025
- HNW clients · 47 to 46Feb 2, 2024 to Mar 13, 2025
- Individual clients · 135 to 149Feb 2, 2024 to Mar 13, 2025
- Assets in custody · $45.5M to $51.2MFeb 2, 2024 to Mar 13, 2025
- Financial planning clients · 0 to 0Feb 2, 2024 to Mar 13, 2025
- Discretionary RAUM · $203M to $248MFeb 2, 2024 to Mar 13, 2025
- HNW RAUM · $164M to $39.5MFeb 2, 2024 to Mar 13, 2025
- Individual RAUM · $32.5M to $199MFeb 2, 2024 to Mar 13, 2025
- Pension RAUM · 495852.0 to unsetFeb 2, 2024 to Mar 13, 2025
- RAUM · $203M to $248MFeb 2, 2024 to Mar 13, 2025
- Accounts · 406 to 441Jun 12, 2023 to Feb 2, 2024
- HNW clients · 44 to 47Jun 12, 2023 to Feb 2, 2024
- Individual clients · 103 to 135Jun 12, 2023 to Feb 2, 2024
- Assets in custody · $32.1M to $45.5MJun 12, 2023 to Feb 2, 2024
- State-registered IARs · 3 to 4Jun 12, 2023 to Feb 2, 2024
- Discretionary RAUM · $166M to $203MJun 12, 2023 to Feb 2, 2024
- HNW RAUM · $139M to $164MJun 12, 2023 to Feb 2, 2024
- Individual RAUM · $24.8M to $32.5MJun 12, 2023 to Feb 2, 2024
- Pension RAUM · unset to 495852.0Jun 12, 2023 to Feb 2, 2024
- RAUM · $166M to $203MJun 12, 2023 to Feb 2, 2024
- Accounts · 325 to 406Sep 9, 2022 to Mar 13, 2023
- Advisory employees · 3 to 4Sep 9, 2022 to Mar 13, 2023
- BD registered reps · 3 to 2Sep 9, 2022 to Mar 13, 2023
- Corporate clients · 1.0 to unsetSep 9, 2022 to Mar 13, 2023
- HNW clients · 52 to 44Sep 9, 2022 to Mar 13, 2023
- Individual clients · 93 to 103Sep 9, 2022 to Mar 13, 2023
- Assets in custody · $46.0M to $32.1MSep 9, 2022 to Mar 13, 2023
- Employees · 3 to 4Sep 9, 2022 to Mar 13, 2023
- Discretionary RAUM · $191M to $166MSep 9, 2022 to Mar 13, 2023
- HNW RAUM · $166M to $139MSep 9, 2022 to Mar 13, 2023
- Individual RAUM · $22.6M to $24.8MSep 9, 2022 to Mar 13, 2023
Signals
3 dated events
- C••••• C•••••• G•••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Mar 7, 2022 · Succession (Item 4) · fact
- Wayne Clinton Cooper (Ceo) appeared on Schedule A of C••••• C•••••• G••••Sep 16, 2019 · Control person joined · fact
- C••••• C•••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Jul 19, 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 phone
- 760-452-6669reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 760-452-6114reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/cooper-capital-advisorsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- c•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 760-452-6114reportedpublic record, Form ADV, Feb 17, 2026
- Contact form
- c•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- c•••••••••.comreportedpublished 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
- $70.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026