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•••• P•••••• W••••• A•••••••• L••
Latest filing Jun 30, 2026
First filing on the tape Sep 16, 2020 · 16 filings
SEC status approved since Oct 16, 2020
RAUM
$532M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
80%
$424M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$133M
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
16 filings and snapshots on the tape
RAUM$532M as of Jun 30, 2026
Feb 12, 2021$385M then
HNW client RAUM$387M as of Jun 30, 2026
Feb 12, 2021$340M then
State-registered IARs (5.B.3)4 as of Jun 30, 2026
Feb 12, 20215 then
Employees (5.A)6 as of Jun 30, 2026
Feb 12, 20215 then
Private funds: no history
RAUM -4.7% over the last fiscal year+15% a year over threeIARs 6 to 4
Practice profile
derived from the filing of Jun 30, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- $133MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 58derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $745,599derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.9%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
- -4.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- -33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -21%derived
- Compensation
- percentage of assets, 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
- Custody
- $343M, 164 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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$387M75%
- Corporations and businesses$70.7M14%
- Individuals$37.6M7.3%
- Pension and profit-sharing plans$18.1M3.5%
- Charitable organizations$2.4M0.5%
- Individual clients
- 112reported
- HNW clients
- 121reported
- Pension plan clients
- 10reported
- Charitable clients
- 2reported
- Accounts
- 713reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $343M for 164 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.8 fund_share=0.0 institutional_share=0.04 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 |
|---|---|---|---|---|
| B•••••• M•••• F•••••••Certified Financial Planner | San Luis Obispo, Ca | Oct 16, 2020 | 13 y | 3 |
| L••• L•••••• M••• | San Luis Obispo, Ca | Oct 16, 2020 | 42 y | 2 |
| D••••• K•••• S••••• | San Luis Obispo, Ca | Oct 16, 2020 | 24 y | 2 |
| T•••••• J• R••••Certified Financial Planner | San Luis Obispo, Ca | Apr 18, 2024 | 12 y | 2 |
Advisor movement
2 left, 0 joined in 12 months
net -2 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 50% of current headcount2 left over 36 months
Left, latest
- J••••••• L••• C•••••• to S•• L••• W••••• A•••••••Oct 3, 2025 · RIA to RIA
- M••••••• K••••• C•••••• to S•• L••• W••••• A•••••••Oct 3, 2025 · RIA to RIA
Joined, latest
- T•••••• J• R•••• from S••••• W••••• A•••••••• I•••Apr 18, 2024 · Other
- M••••••• K••••• C•••••• from L•• F•••••••• L••Oct 19, 2020 · Affiliated broker-dealer or bank to a newly registered adviser
- D••••• K•••• S••••• from W•••• F•••• A•••••••Oct 16, 2020 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- J••••••• L••• C•••••• from W•••• F•••• A•••••••Oct 16, 2020 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- B•••••• M•••• F••••••• from C••••••••• F•••••••• N••••••Oct 16, 2020 · Affiliated broker-dealer or bank to a newly registered adviser
- L••• L•••••• M••• from W•••• F•••• A•••••••Oct 16, 2020 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for S•• L••• W••••• A•••••••Oct 3, 2025 · San Luis Obispo, Ca
- 3 joined from W•••• F•••• A•••••••Oct 26, 2020 · San Luis Obispo, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••• J•••••••• L••• · Managing Membercontrolsince 10/2020 · owns 10% to 25%
- M•••• L•••• L•••••• · Managing Membercontrolsince 10/2020 · owns 25% to 50%
- R••••• T••••••• J• · Chief Compliance Officercontrolsince 07/2024 · owns less than 5%
- S•••••• D•••••• K•••• · Managing Membercontrolsince 10/2020 · owns 50% to 75%
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 Luis Obispo, Ca · principal | 4 | 0 | 2 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
4 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Jun 30, 2026custody of client assets (Item 9.A): no on the filing of 2026-04-13, yes on the filing of 2026-06-30peers: independent wealth managers, $500M to $1B (1,482)
- institutional asset share shiftChange between filings · filing Apr 13, 2026institutional share of RAUM moved from 33.0% to 17.0% between the annual amendments of 2025-03-07 and 2026-04-13peers: independent wealth managers, $500M to $1B (1,482)
- advisor count dropChange between filings · filing Apr 13, 2026advisory representatives (Item 5.B.3) moved from 6.0 to 4.0 (-33.0%) between the annual amendments of 2025-03-07 and 2026-04-13; the peer median change was 0.0% (795 comparable advisers, 2.0th percentile of changes)peers: independent wealth managers, $500M to $1B (795) · 1.6% percentile
- HNW share shiftChange between filings · filing Apr 13, 2026HNW share of RAUM moved from 54.0% to 73.0% between the annual amendments of 2025-03-07 and 2026-04-13peers: independent wealth managers, $500M to $1B (1,482)
What changed
consecutive filings, newest first
- Assets in custody · unset to 342953718.0Apr 13, 2026 to Jun 30, 2026
- Custody of client assets · false to trueApr 13, 2026 to Jun 30, 2026
- Accounts · 846 to 713Oct 3, 2025 to Mar 12, 2026
- Corporate clients · 64 to 7Oct 3, 2025 to Mar 12, 2026
- HNW clients · 137 to 121Oct 3, 2025 to Mar 12, 2026
- Individual clients · 157 to 112Oct 3, 2025 to Mar 12, 2026
- Employees · 4 to 6Oct 3, 2025 to Mar 12, 2026
- Financial planning clients · 26-50 to 51-100Oct 3, 2025 to Mar 12, 2026
- Discretionary RAUM · $558M to $532MOct 3, 2025 to Mar 12, 2026
- HNW RAUM · $303M to $387MOct 3, 2025 to Mar 12, 2026
- Individual RAUM · $68.6M to $37.6MOct 3, 2025 to Mar 12, 2026
- Pension RAUM · $10.9M to $18.1MOct 3, 2025 to Mar 12, 2026
- RAUM · $558M to $532MOct 3, 2025 to Mar 12, 2026
- Advisory employees · 6 to 4Mar 7, 2025 to Oct 3, 2025
- Employees · 6 to 4Mar 7, 2025 to Oct 3, 2025
- State-registered IARs · 6 to 4Mar 7, 2025 to Oct 3, 2025
- Accounts · 806 to 846Feb 19, 2025 to Mar 7, 2025
- Advisory employees · 5 to 6Feb 19, 2025 to Mar 7, 2025
- Charity clients · unset to 2.0Feb 19, 2025 to Mar 7, 2025
- Corporate clients · 10 to 64Feb 19, 2025 to Mar 7, 2025
- HNW clients · 122 to 137Feb 19, 2025 to Mar 7, 2025
- Individual clients · 137 to 157Feb 19, 2025 to Mar 7, 2025
- Pension plan clients · 8 to 10Feb 19, 2025 to Mar 7, 2025
- Assets in custody · 165017558.0 to unsetFeb 19, 2025 to Mar 7, 2025
- Custody of client assets · true to falseFeb 19, 2025 to Mar 7, 2025
- Employees · 5 to 6Feb 19, 2025 to Mar 7, 2025
- Financial planning clients · 0 to 26-50Feb 19, 2025 to Mar 7, 2025
- State-registered IARs · 5 to 6Feb 19, 2025 to Mar 7, 2025
- Discretionary RAUM · $441M to $558MFeb 19, 2025 to Mar 7, 2025
- HNW RAUM · $306M to $303MFeb 19, 2025 to Mar 7, 2025
- Individual RAUM · $41.7M to $68.6MFeb 19, 2025 to Mar 7, 2025
- Pension RAUM · $13.6M to $10.9MFeb 19, 2025 to Mar 7, 2025
- RAUM · $441M to $558MFeb 19, 2025 to Mar 7, 2025
- Accounts · 763 to 806Mar 17, 2023 to Mar 21, 2024
- Advisory employees · 3 to 5Mar 17, 2023 to Mar 21, 2024
- Corporate clients · 19 to 10Mar 17, 2023 to Mar 21, 2024
- HNW clients · 101 to 122Mar 17, 2023 to Mar 21, 2024
- Individual clients · 170 to 137Mar 17, 2023 to Mar 21, 2024
- Pension plan clients · 13 to 8Mar 17, 2023 to Mar 21, 2024
- Assets in custody · $141M to $165MMar 17, 2023 to Mar 21, 2024
Signals
6 dated events
- Meredith Karman Collins left Cerro Pacific Wealth Advisors, Llc for San Luis Wealth Advisors (registered 2025-09-03)Oct 3, 2025 · Advisor changed firm · fact
- Jennifer Lynn Chesini left Cerro Pacific Wealth Advisors, Llc for San Luis Wealth Advisors (registered 2025-09-02)Oct 3, 2025 · Advisor changed firm · fact
- 2 advisors left Cerro Pacific Wealth Advisors, LLC (San Luis Obispo, CA) for San Luis Wealth Advisors on the same dayOct 3, 2025 · Team lift-out · derived
- Cerro Pacific Wealth Advisors, Llc reported RAUM $558.1M, up 26% from $441.4M (2025-02-19 to 2025-03-07)Mar 7, 2025 · RAUM change · derived
- J Timothy Reyna (Chief Compliance Officer) appeared on Schedule A of Cerro Pacific Wealth Advisors, LlcSep 17, 2024 · Control person joined · fact
- Placeholder Llc filed its initial SEC registration (Form ADV)Sep 16, 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
- Business phone
- 805-457-3300reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/cerrowealthreportedpublic record, Form ADV, Sep 18, 2026
- Website
- cerroslo.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 805-457-3300reportedpublic record, Form ADV, Jun 30, 2026
- Contact form
- cerrowealth.com/contactreportedpublished by the firm, firm site, Sep 17, 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
- $133Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026