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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Former SEC-registered adviser

I••••••• W••••• L••

Former SEC-registered adviserClayton, CaliforniaCRD 311102SEC 801-119696IAPD
Latest filing Mar 17, 2023
First filing on the tape Sep 25, 2020 · 13 filings
RAUM
$297M
reported, Item 5.F
Discretionary
63%
of RAUM
Private clients
96%
$284M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$297M as of Mar 17, 2023
Mar 2, 2021$451M then
HNW client RAUM$284M as of Mar 17, 2023
Mar 2, 2021$440M then
State-registered IARs (5.B.3)3 as of Mar 17, 2023
Mar 2, 20213 then
Employees (5.A)3 as of Mar 17, 2023
Mar 2, 20213 then
Private funds: no history
RAUM -33% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Mar 17, 2023; every figure names its basis
RAUM per advisor
$99.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$6.6MderivedHNW RAUM over HNW clients
Average account
$1.8MderivedRAUM over accounts (5.F.2.f)
Discretionary
63%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
0.8derived4 offices incl. principal (1.F.5)
RAUM growth, one year
-33%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
Custody
$11.8M, 4 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$284M96%
  • Corporations and businesses$12.7M4.3%
  • Individuals$46,0690.0%
Individual clients
n/areported
HNW clients
43reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
162reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$11.8M for 4 clientsreported
Compensation
% of AUM, fixedreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • B••••• J••••••• A•••••••• · Managing Director / Principalcontrol
    since 09/2020 · owns 50% to 75%
  • K•••• G••••••• G••••• · Managing Director/ Principalcontrol
    since 09/2020 · owns 50% to 75%
  • R••••••••• Y••••••• R••• · Chief Compliance Officer
    since 02/2022 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Advisers that list I••••••• W••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
  • , 1 employees
What changed
consecutive filings, newest first
  • Accounts · 157 to 162
    Nov 21, 2022 to Mar 17, 2023
  • HNW clients · 36 to 43
    Nov 21, 2022 to Mar 17, 2023
  • Assets in custody · $253M to $11.8M
    Nov 21, 2022 to Mar 17, 2023
  • Discretionary RAUM · $322M to $187M
    Nov 21, 2022 to Mar 17, 2023
  • HNW RAUM · $440M to $284M
    Nov 21, 2022 to Mar 17, 2023
  • Individual RAUM · unset to 46069.0
    Nov 21, 2022 to Mar 17, 2023
  • Non-discretionary RAUM · $122M to $110M
    Nov 21, 2022 to Mar 17, 2023
  • RAUM · $444M to $297M
    Nov 21, 2022 to Mar 17, 2023
  • Accounts · 170 to 157
    Jan 7, 2022 to Mar 9, 2022
  • HNW clients · 31 to 36
    Jan 7, 2022 to Mar 9, 2022
  • Individual clients · 13.0 to unset
    Jan 7, 2022 to Mar 9, 2022
  • Assets in custody · $251M to $253M
    Jan 7, 2022 to Mar 9, 2022
  • HQ city · WALNUT CREEK to CLAYTON
    Jan 7, 2022 to Mar 9, 2022
  • Discretionary RAUM · $353M to $322M
    Jan 7, 2022 to Mar 9, 2022
  • HNW RAUM · $440M to $440M
    Jan 7, 2022 to Mar 9, 2022
  • Individual RAUM · 4180431.0 to unset
    Jan 7, 2022 to Mar 9, 2022
  • Non-discretionary RAUM · $98.0M to $122M
    Jan 7, 2022 to Mar 9, 2022
  • RAUM · $451M to $444M
    Jan 7, 2022 to Mar 9, 2022
  • HQ city · SAN FRANCISCO to WALNUT CREEK
    Apr 26, 2021 to Jan 7, 2022
  • Accounts · 0 to 170
    Dec 1, 2020 to Mar 2, 2021
  • Advisory activities · 1 to 3
    Dec 1, 2020 to Mar 2, 2021
  • HNW clients · unset to 31.0
    Dec 1, 2020 to Mar 2, 2021
  • Individual clients · unset to 13.0
    Dec 1, 2020 to Mar 2, 2021
  • Assets in custody · unset to 251270000.0
    Dec 1, 2020 to Mar 2, 2021
  • Custody of client assets · false to true
    Dec 1, 2020 to Mar 2, 2021
  • Other offices · 1 to 3
    Dec 1, 2020 to Mar 2, 2021
  • Discretionary RAUM · $0 to $353M
    Dec 1, 2020 to Mar 2, 2021
  • HNW RAUM · unset to 440164756.0
    Dec 1, 2020 to Mar 2, 2021
  • Individual RAUM · unset to 4180431.0
    Dec 1, 2020 to Mar 2, 2021
  • Non-discretionary RAUM · $0 to $98.0M
    Dec 1, 2020 to Mar 2, 2021
  • RAUM · $0 to $451M
    Dec 1, 2020 to Mar 2, 2021
  • Advisory activities · 2 to 1
    Nov 6, 2020 to Dec 1, 2020
  • HQ city · LAFAYETTE to SAN FRANCISCO
    Nov 6, 2020 to Dec 1, 2020
  • Other offices · 0 to 1
    Nov 6, 2020 to Dec 1, 2020
Signals
7 dated events
  • J•••••• A•••••••• B•••• left I••••••• W••••• L•• for P••••• W••••• P•••••••• L•• (registered 2023-05-05)
    Jun 6, 2023 · Advisor changed firm · fact
  • Y•••••• R••• R•••••••• left I••••••• W••••• L•• for P••••• W••••• P•••••••• L•• (registered 2023-05-25)
    Jun 6, 2023 · Advisor changed firm · fact
  • 2 advisors left I••••••• W••••• L•• (Clayton, CA) for P••••• W••••• P•••••••• L•• on the same day
    Jun 6, 2023 · Team lift-out · derived
  • I••••••• W••••• L•• reported RAUM $296.9M, down 33% from $444.2M (2022-11-21 to 2023-03-17)
    Mar 17, 2023 · RAUM change · derived
  • M•••• C••••••• P••••• left I••••••• W••••• L•• for O••••••••• • C•• I••• (registered 2023-10-10)
    Mar 29, 2022 · Advisor changed firm · fact
  • C••••••• M•••• P••••• (Chief Compliance Officer) no longer on Schedule A of I••••••• W••••• L•• (listed 2022-01-07, absent 2022-03-09)
    Mar 9, 2022 · Control person left · inference
  • I••••••• W••••• L•• filed its initial SEC registration (Form ADV)
    Sep 25, 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.
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
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026