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•••••• F•••••••• G••••• I•••
Latest filing Mar 21, 2026
First filing on the tape May 20, 2021 · 19 filings
SEC status approved since Jul 1, 2021
RAUM
$252M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
93%
$235M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$126M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$252M as of Mar 21, 2026
Mar 22, 2022$136M then
HNW client RAUM$185M as of Mar 21, 2026
Mar 22, 2022$77.5M then
State-registered IARs (5.B.3)2 as of Mar 21, 2026
Mar 22, 20223 then
Employees (5.A)3 as of Mar 21, 2026
Mar 22, 20223 then
Private funds: no history
RAUM +25% over the last fiscal year+14% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 21, 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
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $126MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 122derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $397,949derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 7.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 0.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +25%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +12%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, 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
- buys or sells securities as principal to or from clients (8.A.2)
- 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$185M73%
- Individuals$49.8M20%
- Pension and profit-sharing plans$17.7M7.0%
- Corporations and businesses$54,4320.0%
- Individual clients
- 173reported
- HNW clients
- 71reported
- Pension plan clients
- 29reported
- Charitable clients
- n/areported
- Accounts
- 634reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.07 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••••• K•••• W•••••• | Westlake Village, Ca | Oct 15, 2020 | 26 y | 3 |
| N••••••• R••••• W••••••Certified Financial Planner | Westlake Village, Ca | Aug 3, 2021 | 12 y | 1 |
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
- B••• A• C••••••• to S••••• I••••••••• M••••••••• L••May 13, 2022 · RIA to RIA
Joined, latest
- N••••••• R••••• W•••••• from V••••••• A•••••••• I•••Aug 3, 2021 · Affiliated broker-dealer or bank to independent RIA
- R•••••• K•••• W•••••• from P••••••••• P•••••••Oct 15, 2020 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W••••••• R••••••• K•••• · Owner And Chief Compliance Officercontrolsince 04/1999 · owns 75% or more
- W••••••• J•••••• E•••••••• · Ownersince 04/1999 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Phoenix, Az | 2 | 0 | 0 | ||
| Westlake Village, Ca · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Mar 21, 2026discretionary share of RAUM of 0% against a peer median of 100% (5678 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: independent wealth managers, $100M to $500M (5,678) · 0.0% percentile
- account count surgeChange between filings · filing Mar 21, 2026accounts (Item 5.F.2.f) moved from 250.0 to 634.0 (+154.0%) between the annual amendments of 2025-03-04 and 2026-03-21; the peer median change was +5.0% (3686 comparable advisers, 99.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,686) · 99% percentile
What changed
consecutive filings, newest first
- Accounts · 250 to 634Dec 16, 2025 to Mar 21, 2026
- HNW clients · 48 to 71Dec 16, 2025 to Mar 21, 2026
- Individual clients · 169 to 173Dec 16, 2025 to Mar 21, 2026
- HNW RAUM · $126M to $185MDec 16, 2025 to Mar 21, 2026
- Individual RAUM · $60.1M to $49.8MDec 16, 2025 to Mar 21, 2026
- Non-discretionary RAUM · $202M to $252MDec 16, 2025 to Mar 21, 2026
- Pension RAUM · $16.4M to $17.7MDec 16, 2025 to Mar 21, 2026
- RAUM · $202M to $252MDec 16, 2025 to Mar 21, 2026
- Accounts · 550 to 250Oct 21, 2024 to Mar 4, 2025
- HNW clients · 40 to 48Oct 21, 2024 to Mar 4, 2025
- Individual clients · 190 to 169Oct 21, 2024 to Mar 4, 2025
- Pension plan clients · 14 to 29Oct 21, 2024 to Mar 4, 2025
- Financial planning clients · 1-10 to 101-250Oct 21, 2024 to Mar 4, 2025
- HNW RAUM · $99.7M to $126MOct 21, 2024 to Mar 4, 2025
- Individual RAUM · $62.3M to $60.1MOct 21, 2024 to Mar 4, 2025
- Non-discretionary RAUM · $169M to $202MOct 21, 2024 to Mar 4, 2025
- Pension RAUM · $7.5M to $16.4MOct 21, 2024 to Mar 4, 2025
- RAUM · $169M to $202MOct 21, 2024 to Mar 4, 2025
- Other offices · 1 to 2Apr 5, 2024 to Oct 21, 2024
- Accounts · 500 to 550Oct 26, 2023 to Mar 22, 2024
- HNW clients · 33 to 40Oct 26, 2023 to Mar 22, 2024
- Individual clients · 189 to 190Oct 26, 2023 to Mar 22, 2024
- Pension plan clients · 21 to 14Oct 26, 2023 to Mar 22, 2024
- Financial planning clients · 101-250 to 1-10Oct 26, 2023 to Mar 22, 2024
- HNW RAUM · $83.3M to $99.7MOct 26, 2023 to Mar 22, 2024
- Individual RAUM · $74.5M to $62.3MOct 26, 2023 to Mar 22, 2024
- Non-discretionary RAUM · $168M to $169MOct 26, 2023 to Mar 22, 2024
- Pension RAUM · $10.4M to $7.5MOct 26, 2023 to Mar 22, 2024
- RAUM · $168M to $169MOct 26, 2023 to Mar 22, 2024
- Accounts · 476 to 500Oct 24, 2022 to Mar 21, 2023
- HNW clients · 42 to 33Oct 24, 2022 to Mar 21, 2023
- Individual clients · 146 to 189Oct 24, 2022 to Mar 21, 2023
- Pension plan clients · 6 to 21Oct 24, 2022 to Mar 21, 2023
- HQ city · THOUSAND OAKS to WESTLAKE VILLAGEOct 24, 2022 to Mar 21, 2023
- State-registered IARs · 3 to 2Oct 24, 2022 to Mar 21, 2023
- HNW RAUM · $77.5M to $83.3MOct 24, 2022 to Mar 21, 2023
- Individual RAUM · $50.9M to $74.5MOct 24, 2022 to Mar 21, 2023
- Non-discretionary RAUM · $136M to $168MOct 24, 2022 to Mar 21, 2023
- Pension RAUM · $7.7M to $10.4MOct 24, 2022 to Mar 21, 2023
- RAUM · $136M to $168MOct 24, 2022 to Mar 21, 2023
Signals
2 dated events
- B••• A• C••••••• left W•••••• F•••••••• G••••• I••• for S••••• I••••••••• M••••••••• L•• (registered 2024-04-04)May 13, 2022 · Advisor changed firm · fact
- W•••••• F•••••••• G••••• I••• filed its initial SEC registration (Form ADV)May 20, 2021 · 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 phone
- 303-797-9080reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 805-497-1717reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 805-497-7016reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- w••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 805-497-1717reportedpublic record, Form ADV, Mar 21, 2026
- Contact form
- wfginc.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- wfginc.com/meet-the-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
- $126Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026