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••••• U• W•••••• I•••
Latest filing Feb 9, 2026
First filing on the tape Oct 28, 2024 · 12 filings
SEC status approved since Nov 26, 2024
RAUM
$130M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$130M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$43.3M
derived; firm RAUM over IAPD count
Employees
5
3 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$130M as of Feb 9, 2026
Jan 29, 2025$123M then
HNW client RAUM$104M as of Feb 9, 2026
Jan 29, 2025$99.4M then
State-registered IARs (5.B.3)3 as of Feb 9, 2026
Jan 29, 20253 then
Employees (5.A)5 as of Feb 9, 2026
Jan 29, 20255 then
Private funds: no history
RAUM +5.8% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Feb 9, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $43.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 38derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $283,776derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +5.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.5%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 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$104M80%
- Individuals$26.3M20%
- Individual clients
- 68reported
- HNW clients
- 46reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 458reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••••• E•••••••• H••••••Certified Financial Planner | Benicia, Ca | Mar 19, 2020 | 10 y | 0 |
| L•••• N••••• B••••• | Benicia, Ca | Nov 11, 2024 | 14 y | 1 |
| F•••••• E•••• H••••••Certified Financial Planner | Vallejo, Ca | Jan 15, 2025 | 25 y | 2 |
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
- F•••••• E•••• H•••••• from N•••• C••••••Jan 15, 2025 · RIA to RIA
- L•••• N••••• B••••• from P••• F•••••••• A•••••••• L••Nov 11, 2024 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••••• B••••••• E•••••••• · President, Cio, & Ccocontrolsince 02/2020 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Benicia, Ca | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 397 to 458Nov 13, 2025 to Feb 9, 2026
- HNW clients · 36 to 46Nov 13, 2025 to Feb 9, 2026
- Individual clients · 71 to 68Nov 13, 2025 to Feb 9, 2026
- Discretionary RAUM · $123M to $130MNov 13, 2025 to Feb 9, 2026
- HNW RAUM · $99.4M to $104MNov 13, 2025 to Feb 9, 2026
- Individual RAUM · $23.5M to $26.3MNov 13, 2025 to Feb 9, 2026
- RAUM · $123M to $130MNov 13, 2025 to Feb 9, 2026
- HQ city · BENICIA to Jan 29, 2025 to Aug 18, 2025
- HQ state · CA to Jan 29, 2025 to Aug 18, 2025
- Accounts · 368 to 397Nov 19, 2024 to Jan 29, 2025
- HNW clients · 40 to 36Nov 19, 2024 to Jan 29, 2025
- Individual clients · 60 to 71Nov 19, 2024 to Jan 29, 2025
- Financial planning clients · 51-100 to 51-100Nov 19, 2024 to Jan 29, 2025
- Discretionary RAUM · $104M to $123MNov 19, 2024 to Jan 29, 2025
- HNW RAUM · $78.2M to $99.4MNov 19, 2024 to Jan 29, 2025
- Individual RAUM · $25.7M to $23.5MNov 19, 2024 to Jan 29, 2025
- RAUM · $104M to $123MNov 19, 2024 to Jan 29, 2025
Signals
1 dated events
- W••••• U• W•••••• I••• filed its initial SEC registration (Form ADV)Oct 28, 2024 · 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
- info@wheelsupwealthinc.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 707-400-0992reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/wheels-up-wealth-increportedpublic record, Form ADV, Sep 18, 2026
- Website
- wheelsupwealthinc.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (707) 400-0992reportedpublic record, Form ADV, Feb 9, 2026
- Contact form
- wheelsupwealthinc.com/contact-usreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- wheelsupwealthinc.com/about-us/meet-our-teamreportedpublished 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
- $43.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026