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••••••••• W••••• A•••••••• I•••
Latest filing Feb 13, 2026
First filing on the tape Apr 21, 2025 · 4 filings
SEC status approved since Apr 21, 2025
RAUM
$146M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
98%
$142M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$36.4M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$146M as of Feb 13, 2026
Apr 21, 2025$110M then
HNW client RAUM$117M as of Feb 13, 2026
Apr 21, 2025$84.4M then
State-registered IARs (5.B.3)4 as of Feb 13, 2026
Apr 21, 20254 then
Employees (5.A)4 as of Feb 13, 2026
Apr 21, 20254 then
Private funds: no history
RAUM +32% over the last fiscal yearIARs 4 to 4offices 1 to 2
Practice profile
derived from the filing of Feb 13, 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
- $36.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 39derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.3MderivedHNW RAUM over HNW clients
- Average account
- $342,659derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 2.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +32%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.1%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 consulting, selection of other advisersreportedItem 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
- is an insurance broker or agent (6.A.6)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$117M80%
- Individuals$25.0M17%
- Pension and profit-sharing plans$3.5M2.4%
- Charitable organizations$130,0000.1%
- Individual clients
- 105reported
- HNW clients
- 50reported
- Pension plan clients
- 1reported
- Charitable clients
- 1reported
- Accounts
- 425reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• W• S••••••Certified Financial Planner | Carlsbad, Ca | Jun 1, 2020 | 19 y | 5 |
| C•••••• J••••• Z•••••• | Carlsbad, Ca | Jan 1, 2025 | 12 y | 1 |
| L•••••• A• S••••••Certified Financial Planner, Chartered Financial Consultant | Aiken, Sc | Jan 1, 2025 | 39 y | 6 |
| D••••• A••••• B•••••• | Carlsbad, Ca | Jan 1, 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
- D••••• A••••• B•••••• from C••••••••• W••••• A•••••••• I•••Jan 1, 2026 · Other
- L•••••• A• S•••••• from C••••••••• W••••• A•••••••• I•••Jan 1, 2025 · Other
- C•••••• J••••• Z•••••• from C••••••••• W••••• A•••••••• I•••Jan 1, 2025 · Other
- M•••••• W• S•••••• from C••••••••• W••••• A•••••••• I•••Jun 1, 2020 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 4 joined from C••••••••• W••••• A•••••••• I•••Oct 21, 2020 · Carslsbad, Ca · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••••• D•••••• A••••• · Chief Executive Officercontrolsince 08/2014 · owns 50% to 75%
- S••••••• M••••••• W• · Chief Compliance Officercontrolsince 02/2014 · 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 |
|---|---|---|---|---|---|
| Carlsbad, Ca · principal | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 153 to 425Nov 4, 2025 to Feb 13, 2026
- Charity clients · 2 to 1Nov 4, 2025 to Feb 13, 2026
- Individual clients · 100 to 105Nov 4, 2025 to Feb 13, 2026
- Pension plan clients · unset to 1.0Nov 4, 2025 to Feb 13, 2026
- Discretionary RAUM · $143M to $140MNov 4, 2025 to Feb 13, 2026
- HNW RAUM · $117M to $117MNov 4, 2025 to Feb 13, 2026
- Individual RAUM · $22.5M to $25.0MNov 4, 2025 to Feb 13, 2026
- Non-discretionary RAUM · $0 to $5.5MNov 4, 2025 to Feb 13, 2026
- Pension RAUM · unset to 3500000.0Nov 4, 2025 to Feb 13, 2026
- RAUM · $143M to $146MNov 4, 2025 to Feb 13, 2026
- Accounts · 350 to 153Jun 16, 2025 to Nov 4, 2025
- HNW clients · 43 to 50Jun 16, 2025 to Nov 4, 2025
- Individual clients · 117 to 100Jun 16, 2025 to Nov 4, 2025
- Discretionary RAUM · $110M to $143MJun 16, 2025 to Nov 4, 2025
- HNW RAUM · $84.4M to $117MJun 16, 2025 to Nov 4, 2025
- Individual RAUM · $25.0M to $22.5MJun 16, 2025 to Nov 4, 2025
- RAUM · $110M to $143MJun 16, 2025 to Nov 4, 2025
- Financial planning clients · 1-10 to 1-10Apr 21, 2025 to Jun 16, 2025
- Other offices · 1 to 2Apr 21, 2025 to Jun 16, 2025
Signals
No event on the tape.
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
- i•••••@c•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- i•••••@c•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/1798870reportedpublic record, Form ADV, Sep 18, 2026
- Website
- w••.c•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 760-476-1376reportedpublic record, Form ADV, Feb 13, 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
- $36.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026