DFX Intelligence
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P••••••• W••••• A•••••••
Independent wealth manager, based in San Diego, California, reporting $583M of regulatory assets across 5 registered advisors.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $583M
- Advisors
- 5
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- +0.6%
- Private clients
- 99% of RAUM, $576M
Form ADV
IAPD
IAPD registration history
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- Contact points 2
Every filed figure, and the identifiersCRD 308292 · SEC 801-118761 · 12 filingsShowHide
CRD 308292SEC 801-118761Legal name R•••••• • A••••••••• L••First filing on the tape Apr 19, 2020, latest Jun 9, 2026SEC status approved since May 20, 2020IAPD
RAUM
$583M
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
99%
$576M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$117M
derived; firm RAUM over IAPD count
Employees
14
6 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$583M as of Jun 9, 2026
Mar 29, 2021$529M then
HNW client RAUM$488M as of Jun 9, 2026
Mar 29, 2021$450M then
State-registered IARs (5.B.3)5 as of Jun 9, 2026
Mar 29, 20215 then
Employees (5.A)14 as of Jun 9, 2026
Mar 29, 202115 then
Private funds: no history
RAUM +0.6% over the last fiscal year+3.2% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Jun 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
- RAUM per advisor
- $97.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 60derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.7MderivedHNW RAUM over HNW clients
- Average account
- $456,161derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%derivedof RAUM
- Institutional
- 1.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.3derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +0.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.7%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Custody
- $105M, 136 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$488M84%
- Individuals$87.1M15%
- Charitable organizations$7.4M1.3%
- Individual clients
- 229reported
- HNW clients
- 133reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,278reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $105M for 136 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••••• J• S•••••Certified Financial Planner | Signal Mountain, Tn | Mar 29, 2021 | 18 y | 0 |
| L•••••• A••••• S•••••• L••••Certified Financial Planner | San Diego, Ca | Mar 23, 2023 | 12 y | 1 |
| O••• A••••••Certified Financial Planner | San Diego, Ca | Apr 21, 2023 | 10 y | 0 |
| S•••••• A••••• D•••••Certified Financial Planner | San Diego, Ca | Apr 21, 2023 | 17 y | 2 |
| S••••••• S•••• K•••••••Certified Financial Planner | San Diego, Ca | Apr 21, 2023 | 13 y | 1 |
| J••• B••••••• A••••••Certified Financial Planner | San Diego, Ca | Sep 18, 2026 | 16 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
none on the tape
Joined, latest
- S•••••• A••••• D••••• from D••••• F•••••••• P•••••••Apr 21, 2023 · Other
- S••••••• S•••• K••••••• from R•••••• • A•••••••••Apr 21, 2023 · RIA to RIA
- L•••••• A••••• S•••••• L•••• from R•••••• • A•••••••••Mar 23, 2023 · RIA to RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from R•••••• • A•••••••••Nov 9, 2020 · San Diego, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••••• J•••• B••••••• · Managing Member, Chief Compliance Officercontrolsince 02/2020 · owns 25% to 50%
- C••••••• T•••• M••••••• · Managing Membercontrolsince 02/2020 · owns 25% to 50%
- S•••••• L••••• L••••••• A••••• · Managing Membercontrolsince 02/2020 · 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 |
|---|---|---|---|---|---|
| San Diego, Ca · principal | 6 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,332 to 1,278Mar 26, 2025 to Mar 28, 2026
- HNW clients · 126 to 133Mar 26, 2025 to Mar 28, 2026
- Individual clients · 223 to 229Mar 26, 2025 to Mar 28, 2026
- Assets in custody · $114M to $105MMar 26, 2025 to Mar 28, 2026
- Employees · 15 to 14Mar 26, 2025 to Mar 28, 2026
- Discretionary RAUM · $545M to $546MMar 26, 2025 to Mar 28, 2026
- HNW RAUM · $487M to $488MMar 26, 2025 to Mar 28, 2026
- Individual RAUM · $84.8M to $87.1MMar 26, 2025 to Mar 28, 2026
- Non-discretionary RAUM · $34.9M to $37.2MMar 26, 2025 to Mar 28, 2026
- RAUM · $580M to $583MMar 26, 2025 to Mar 28, 2026
- Accounts · 1,238 to 1,332Jun 13, 2024 to Mar 26, 2025
- HNW clients · 119 to 126Jun 13, 2024 to Mar 26, 2025
- Individual clients · 242 to 223Jun 13, 2024 to Mar 26, 2025
- Assets in custody · $117M to $114MJun 13, 2024 to Mar 26, 2025
- Employees · 16 to 15Jun 13, 2024 to Mar 26, 2025
- Financial planning clients · 26-50 to 26-50Jun 13, 2024 to Mar 26, 2025
- Discretionary RAUM · $513M to $545MJun 13, 2024 to Mar 26, 2025
- HNW RAUM · $450M to $487MJun 13, 2024 to Mar 26, 2025
- Individual RAUM · $88.0M to $84.8MJun 13, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $32.3M to $34.9MJun 13, 2024 to Mar 26, 2025
- RAUM · $545M to $580MJun 13, 2024 to Mar 26, 2025
- Business name · R•••••• • A••••••••• L•• to P••••••• W••••• A•••••••Jun 13, 2024 to Jun 13, 2024
- Accounts · 1,307 to 1,238Mar 21, 2023 to Mar 26, 2024
- HNW clients · 115 to 119Mar 21, 2023 to Mar 26, 2024
- Individual clients · 212 to 242Mar 21, 2023 to Mar 26, 2024
- Assets in custody · $116M to $117MMar 21, 2023 to Mar 26, 2024
- State-registered IARs · 4 to 5Mar 21, 2023 to Mar 26, 2024
- Discretionary RAUM · $502M to $513MMar 21, 2023 to Mar 26, 2024
- HNW RAUM · $436M to $450MMar 21, 2023 to Mar 26, 2024
- Individual RAUM · $85.4M to $88.0MMar 21, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $28.2M to $32.3MMar 21, 2023 to Mar 26, 2024
- RAUM · $530M to $545MMar 21, 2023 to Mar 26, 2024
- Accounts · 1,185 to 1,307Mar 31, 2022 to Mar 21, 2023
- HNW clients · 133 to 115Mar 31, 2022 to Mar 21, 2023
- Individual clients · 190 to 212Mar 31, 2022 to Mar 21, 2023
- Assets in custody · $135M to $116MMar 31, 2022 to Mar 21, 2023
- Financial planning clients · 11-25 to 26-50Mar 31, 2022 to Mar 21, 2023
- Discretionary RAUM · $583M to $502MMar 31, 2022 to Mar 21, 2023
- HNW RAUM · $527M to $436MMar 31, 2022 to Mar 21, 2023
- Individual RAUM · $77.8M to $85.4MMar 31, 2022 to Mar 21, 2023
Signals
2 dated events
- ••• LockedSep 18, 2026 · Advisor registered · fact
- ••• LockedApr 19, 2020 · 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
- Website
- ••• Lockedreportedpublic record, Form ADV, Jun 9, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Jun 9, 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
- $117Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026