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••••••• D••••••••• C••••••• L••
Latest filing Sep 2, 2026
First filing on the tape Nov 5, 2019 · 22 filings
SEC status approved since Dec 5, 2019
RAUM
$610M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
59%
$357M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$152M
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$610M as of Mar 19, 2026
Mar 30, 2020$224M then
HNW client RAUM$332M as of Mar 19, 2026
Mar 30, 2020$95.1M then
State-registered IARs (5.B.3)4 as of Mar 19, 2026
Mar 30, 20203 then
Employees (5.A)6 as of Mar 19, 2026
Mar 30, 20203 then
Private funds11 as of Mar 19, 2026
Feb 3, 20212 then
RAUM +6.8% over the last fiscal year+8.6% a year over threeIARs 3 to 4
Practice profile
derived from the filing of Sep 2, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $152MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 99derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.0MderivedHNW RAUM over HNW clients
- Average account
- $1.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.3%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
- +6.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.3%derived
- Compensation
- percentage of assets, hourly, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- $391MreportedItem 5.I
- Custody
- $218M, 11 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$332M54%
- Pooled investment vehicles$218M36%
- Individuals$25.5M4.2%
- Pension and profit-sharing plans$20.6M3.4%
- Corporations and businesses$7.8M1.3%
- Charitable organizations$5.7M0.9%
- Individual clients
- 285reported
- HNW clients
- 111reported
- Pension plan clients
- 22reported
- Charitable clients
- 9reported
- Accounts
- 438reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $158M sponsored, $0 managedreported
- Custody of client assets
- $218M for 11 clientsreported
- Compensation
- % of AUM, fixed, hourly, performancereported
- Class basis
- private_client_share=0.59 fund_share=0.36 institutional_share=0.04 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••••• D••••• W••••••• | Bakersfield, Ca | Mar 24, 2020 | 45 y | 4 |
| G•••••• T••••• W••••••• | Bakersfield, Ca | Apr 20, 2020 | 21 y | 3 |
| B••• T••••• W••••••• | Bakersfield, Ca | Apr 20, 2020 | 23 y | 5 |
| C•••• J•••• R••••••• | Bakersfield, Ca | Jan 9, 2026 | 12 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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
- C•••• J•••• R••••••• from A••••••••• F•••••••• S•••••••• L••Jan 9, 2026 · Affiliated broker-dealer or bank to independent RIA
- G•••••• T••••• W••••••• from W•••• F•••• A•••••••Apr 20, 2020 · Wirehouse to independent RIA
- B••• T••••• W••••••• from W•••• F•••• A•••••••Apr 20, 2020 · Wirehouse to independent RIA
- T••••• D••••• W••••••• from W•••• F•••• A•••••••Mar 24, 2020 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from W•••• F•••• A•••••••Mar 24, 2020 · Bakersfield, Ca
Private funds
9 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| W•• E•••••• L•• | Private Equity Fund | $117M | 84 | Feb 3, 2021 |
| W•• E••••• I• G•••• R•••• L•• | Private Equity Fund | $34.9M | 99 | Sep 19, 2022 |
| W•• C••••• F•••• L•• | Private Equity Fund | $8.5M | 57 | Oct 10, 2023 |
| W•• R••••• L•• | Private Equity Fund | $6.6M | 7 | Oct 27, 2021 |
| W•• T••••••••• F••• 1• L•• | Private Equity Fund | $4.7M | 39 | Sep 22, 2022 |
| W•• Q•••••••• C••••• F•••• L•• | Private Equity Fund | $2.6M | 45 | Oct 10, 2023 |
| W•• S•••• X• L•• | Private Equity Fund | $2.6M | 45 | Oct 10, 2023 |
| W•• B•••••• F••• I• L•• | Private Equity Fund | $0 | 17 | Oct 10, 2023 |
| W•• F••• 1• L•• | Private Equity Fund | $0 | 67 | Sep 25, 2020 |
Owners and control persons
Schedule A and B, latest filing
- W•••••••• B•••• T••••• · Partnercontrolsince 10/2019 · owns 25% to 50%
- W•••••••• G••••••• T••••• · Partnercontrolsince 10/2019 · owns 25% to 50%
- W•••••••• T•••••• D••••• · Partner, Chief Compliance Officercontrolsince 10/2019 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Bakersfield, 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
- account count collapseChange between filings · filing Mar 19, 2026accounts (Item 5.F.2.f) moved from 1,035.0 to 438.0 (-58.0%) between the annual amendments of 2025-04-29 and 2026-03-19; the peer median change was +6.0% (1256 comparable advisers, 2.0th percentile of changes)peers: independent wealth managers, $500M to $1B (1,256) · 1.6% percentile
What changed
consecutive filings, newest first
- Financial planning clients · 0 to 0Mar 19, 2026 to Sep 2, 2026
- Private funds · 11 to unsetMar 19, 2026 to Sep 2, 2026
- Discretionary RAUM · $610M to $610MMar 19, 2026 to Sep 2, 2026
- Pooled vehicle RAUM · $218M to $218MMar 19, 2026 to Sep 2, 2026
- RAUM · $610M to $610MMar 19, 2026 to Sep 2, 2026
- Related adviser · false to unsetMar 19, 2026 to Sep 2, 2026
- Related bank · false to unsetMar 19, 2026 to Sep 2, 2026
- Related broker-dealer · false to unsetMar 19, 2026 to Sep 2, 2026
- Related insurance company · false to unsetMar 19, 2026 to Sep 2, 2026
- Succession · false to unsetMar 19, 2026 to Sep 2, 2026
- Accounts · 1,035 to 438Dec 4, 2025 to Mar 19, 2026
- Corporate clients · 14 to 13Dec 4, 2025 to Mar 19, 2026
- HNW clients · 100 to 111Dec 4, 2025 to Mar 19, 2026
- Individual clients · 269 to 285Dec 4, 2025 to Mar 19, 2026
- Pension plan clients · 23 to 22Dec 4, 2025 to Mar 19, 2026
- Assets in custody · $121M to $218MDec 4, 2025 to Mar 19, 2026
- State-registered IARs · 3 to 4Dec 4, 2025 to Mar 19, 2026
- Discretionary RAUM · $571M to $610MDec 4, 2025 to Mar 19, 2026
- HNW RAUM · $287M to $332MDec 4, 2025 to Mar 19, 2026
- Individual RAUM · $26.4M to $25.5MDec 4, 2025 to Mar 19, 2026
- Pension RAUM · $20.3M to $20.6MDec 4, 2025 to Mar 19, 2026
- Pooled vehicle RAUM · $209M to $218MDec 4, 2025 to Mar 19, 2026
- RAUM · $571M to $610MDec 4, 2025 to Mar 19, 2026
- Wrap assets (sponsor) · $113M to $158MDec 4, 2025 to Mar 19, 2026
- Financial planning clients · 0 to 0Apr 29, 2025 to Nov 6, 2025
- Accounts · 1,092 to 1,035Mar 13, 2024 to Apr 29, 2025
- Charity clients · 13 to 9Mar 13, 2024 to Apr 29, 2025
- Corporate clients · 29 to 14Mar 13, 2024 to Apr 29, 2025
- HNW clients · 155 to 100Mar 13, 2024 to Apr 29, 2025
- Individual clients · 160 to 269Mar 13, 2024 to Apr 29, 2025
- Pooled vehicle clients · 9 to 11Mar 13, 2024 to Apr 29, 2025
- Assets in custody · $177M to $121MMar 13, 2024 to Apr 29, 2025
- Employees · 5 to 6Mar 13, 2024 to Apr 29, 2025
- Private funds · 9 to 11Mar 13, 2024 to Apr 29, 2025
- Discretionary RAUM · $508M to $571MMar 13, 2024 to Apr 29, 2025
- HNW RAUM · $260M to $287MMar 13, 2024 to Apr 29, 2025
- Individual RAUM · $25.8M to $26.4MMar 13, 2024 to Apr 29, 2025
- Pension RAUM · $17.8M to $20.3MMar 13, 2024 to Apr 29, 2025
- Pooled vehicle RAUM · $177M to $209MMar 13, 2024 to Apr 29, 2025
- RAUM · $508M to $571MMar 13, 2024 to Apr 29, 2025
Signals
2 dated events
- W••••••• D••••••••• C••••••• L•• reported RAUM $390.4M, up 74% from $224.1M (2020-09-25 to 2021-02-03)Feb 3, 2021 · RAUM change · derived
- W••••••• D••••••••• C••••••• L•• filed its initial SEC registration (Form ADV)Nov 5, 2019 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- W••••••• D••••••••• C••••••• L•• · Independent Sponsorsshared crd · capital_provider
- W••••••• D••••••••• C••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Business phone
- 661-498-7500reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- w•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 661-498-7500reportedpublic record, Form ADV, Sep 2, 2026
- Contact form
- 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
- $152Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026