DFX Intelligence

RIA Intelligence

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Former SEC-registered adviser

W• W••••• • A••••••••• I•••

Former SEC-registered adviserFullerton, CaliforniaCRD 305814SEC 801-117603IAPD

Latest filing Mar 10, 2022

First filing on the tape Oct 9, 2019 · 13 filings

RAUM

$311M

reported, Item 5.F

Discretionary

93%

of RAUM

Private clients

62%

$194M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

13 filings and snapshots on the tape

RAUM$311M as of Mar 10, 2022

Mar 27, 2020$168M then

HNW client RAUM$170M as of Mar 10, 2022

Mar 27, 2020$73.1M then

State-registered IARs (5.B.3)2 as of Mar 10, 2022

Mar 27, 20201 then

Employees (5.A)7 as of Mar 10, 2022

Mar 27, 20201 then

Private funds: no history

RAUM +16% over the last fiscal yearIARs 2 to 2

Practice profile

derived from the filing of Mar 10, 2022; every figure names its basis

RAUM per advisor: $156MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 70derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.4MderivedHNW RAUM over HNW clients
Average account: $644,379derivedRAUM over accounts (5.F.2.f)
Discretionary: 93%derivedof RAUM
Institutional: 31%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 3.5derivedItem 5.A over advisors
Advisors per office: 2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +16%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +13%derived
Compensation: percentage of assets, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
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$170M55%
Pension and profit-sharing plans$88.2M28%
Individuals$24.4M7.8%
Corporations and businesses$21.6M6.9%
Charitable organizations$7.3M2.3%

Individual clients: 69reported
HNW clients: 71reported
Pension plan clients: 27reported
Charitable clients: 4reported
Accounts: 483reported
Financial planning clients: 101-250reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixedreported
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

Left, latest

D••• M•••• B••••• to M••••••
Apr 4, 2023 · RIA to affiliated broker-dealer or bank

Joined, latest

D••• M•••• B••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••
Nov 19, 2019 · Affiliated broker-dealer or bank to a newly registered adviser

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

W•••••• W••••••• C•••• · Managing Member & Chief Compliance Officercontrol
since 05/1997 · owns 75% or more

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 · 165 to 483
Feb 26, 2021 to Mar 10, 2022
Charity clients · 3 to 4
Feb 26, 2021 to Mar 10, 2022
HNW clients · 65 to 71
Feb 26, 2021 to Mar 10, 2022
Individual clients · 59 to 69
Feb 26, 2021 to Mar 10, 2022
Discretionary RAUM · $248M to $288M
Feb 26, 2021 to Mar 10, 2022
HNW RAUM · $152M to $170M
Feb 26, 2021 to Mar 10, 2022
Individual RAUM · $20.0M to $24.4M
Feb 26, 2021 to Mar 10, 2022
Non-discretionary RAUM · $20.0M to $23.1M
Feb 26, 2021 to Mar 10, 2022
Pension RAUM · $70.2M to $88.2M
Feb 26, 2021 to Mar 10, 2022
RAUM · $268M to $311M
Feb 26, 2021 to Mar 10, 2022
Accounts · 501 to 165
Nov 3, 2020 to Feb 26, 2021
Advisory employees · 1 to 2
Nov 3, 2020 to Feb 26, 2021
BD registered reps · 1 to 0
Nov 3, 2020 to Feb 26, 2021
Corporate clients · 0 to 6
Nov 3, 2020 to Feb 26, 2021
HNW clients · 59 to 65
Nov 3, 2020 to Feb 26, 2021
Individual clients · 119 to 59
Nov 3, 2020 to Feb 26, 2021
Pension plan clients · 7 to 27
Nov 3, 2020 to Feb 26, 2021
Employees · 1 to 7
Nov 3, 2020 to Feb 26, 2021
Insurance-licensed employees · 1 to 0
Nov 3, 2020 to Feb 26, 2021
Financial planning clients · 0 to 101-250
Nov 3, 2020 to Feb 26, 2021
State-registered IARs · 1 to 2
Nov 3, 2020 to Feb 26, 2021
Discretionary RAUM · $231M to $248M
Nov 3, 2020 to Feb 26, 2021
HNW RAUM · $166M to $152M
Nov 3, 2020 to Feb 26, 2021
Individual RAUM · $39.4M to $20.0M
Nov 3, 2020 to Feb 26, 2021
Non-discretionary RAUM · $0 to $20.0M
Nov 3, 2020 to Feb 26, 2021
Pension RAUM · $20.7M to $70.2M
Nov 3, 2020 to Feb 26, 2021
RAUM · $231M to $268M
Nov 3, 2020 to Feb 26, 2021
Accounts · 637 to 501
May 1, 2020 to Jun 17, 2020
Charity clients · 2 to 3
May 1, 2020 to Jun 17, 2020
HNW clients · 54 to 59
May 1, 2020 to Jun 17, 2020
Individual clients · 482 to 119
May 1, 2020 to Jun 17, 2020
Pension plan clients · 17 to 7
May 1, 2020 to Jun 17, 2020
Discretionary RAUM · $143M to $231M
May 1, 2020 to Jun 17, 2020
HNW RAUM · $73.1M to $166M
May 1, 2020 to Jun 17, 2020
Individual RAUM · $72.7M to $39.4M
May 1, 2020 to Jun 17, 2020
Non-discretionary RAUM · $24.9M to $0
May 1, 2020 to Jun 17, 2020
Pension RAUM · $21.0M to $20.7M
May 1, 2020 to Jun 17, 2020
RAUM · $168M to $231M
May 1, 2020 to Jun 17, 2020
Accounts · 0 to 637
Jan 21, 2020 to Mar 27, 2020
Charity clients · unset to 2.0
Jan 21, 2020 to Mar 27, 2020

Signals

2 dated events

D••• M•••• B••••• left W• W••••• • A••••••••• I••• for Mariner (registered 2023-02-28)
Apr 4, 2023 · Advisor changed firm · fact
W• W••••• • A••••••••• I••• filed its initial SEC registration (Form ADV)
Oct 9, 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