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•••••• • Q•••• W••••• A•••••••
Legal name C• W••••• A•••••••• I•••
Latest filing Jan 14, 2026
First filing on the tape Mar 26, 2021 · 15 filings
SEC status approved since Apr 26, 2021
RAUM
$263M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
96%
$252M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$65.8M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$263M as of Jan 14, 2026
May 2, 2022$129M then
HNW client RAUM$0 as of Jan 14, 2026
May 2, 2022$24.8M then
State-registered IARs (5.B.3)2 as of Jan 14, 2026
May 2, 20223 then
Employees (5.A)4 as of Jan 14, 2026
May 2, 20223 then
Private funds: no history
RAUM +16% over the last fiscal year+32% a year over threeIARs 3 to 2
Practice profile
derived from the filing of Jan 14, 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 a••••••s, one to three offices, no public reporting company control
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $65.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $339,747derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 4.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- -33%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, 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$252M96%
- Pension and profit-sharing plans$11.4M4.3%
- Individual clients
- 678reported
- HNW clients
- n/areported
- Pension plan clients
- 4reported
- Charitable clients
- n/areported
- Accounts
- 775reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.96 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 |
|---|---|---|---|---|
| J••••••• A••••• Q•••• | San Diego, Ca | Apr 29, 2021 | 20 y | 2 |
| S•••••• M••• S••••••Certified Financial Planner | San Diego, Ca | Jun 9, 2021 | 32 y | 5 |
| N•••• V•••••• C•••••• | San Diego, Ca | Jun 16, 2021 | 22 y | 3 |
| N•••• C•••••• | Irvine, Ca | Apr 21, 2025 | 10 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
- N•••• V•••••• C•••••• from C••••• A•••••• N••••••• L••Jun 16, 2021 · Affiliated broker-dealer or bank to a newly registered adviser
- S•••••• M••• S•••••• from V••• F•••••••• A•••••••• I•••Jun 9, 2021 · Affiliated broker-dealer or bank to a newly registered adviser
- J••••••• A••••• Q•••• from V••• F•••••••• A•••••••• I•••Apr 29, 2021 · Affiliated broker-dealer or bank to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••• N••••• V•••••• · Co-Founder Chief Compliance Officercontrolsince 04/2021 · owns 50% to 75%
- Q••••• J•••••••• A••••• · Co-Foundercontrolsince 04/2021 · 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 Diego, Ca · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 772 to 775Apr 23, 2025 to Jan 14, 2026
- Advisory employees · 3 to 2Apr 23, 2025 to Jan 14, 2026
- Individual clients · 769 to 678Apr 23, 2025 to Jan 14, 2026
- Pension plan clients · unset to 4.0Apr 23, 2025 to Jan 14, 2026
- Employees · 3 to 4Apr 23, 2025 to Jan 14, 2026
- Financial planning clients · 0 to 1-10Apr 23, 2025 to Jan 14, 2026
- State-registered IARs · 3 to 2Apr 23, 2025 to Jan 14, 2026
- Discretionary RAUM · $223M to $252MApr 23, 2025 to Jan 14, 2026
- Individual RAUM · $223M to $252MApr 23, 2025 to Jan 14, 2026
- Non-discretionary RAUM · $3.0M to $11.4MApr 23, 2025 to Jan 14, 2026
- Pension RAUM · $3.0M to $11.4MApr 23, 2025 to Jan 14, 2026
- RAUM · $226M to $263MApr 23, 2025 to Jan 14, 2026
- Financial planning clients · 0 to 0Feb 12, 2025 to Apr 23, 2025
- Accounts · 707 to 772Nov 11, 2024 to Feb 12, 2025
- HNW clients · 0.0 to unsetNov 11, 2024 to Feb 12, 2025
- Individual clients · 701 to 769Nov 11, 2024 to Feb 12, 2025
- Pension plan clients · 3.0 to unsetNov 11, 2024 to Feb 12, 2025
- Pooled vehicle clients · 0.0 to unsetNov 11, 2024 to Feb 12, 2025
- Financial planning clients · 1-10 to 0Nov 11, 2024 to Feb 12, 2025
- Discretionary RAUM · $143M to $223MNov 11, 2024 to Feb 12, 2025
- Individual RAUM · $143M to $223MNov 11, 2024 to Feb 12, 2025
- Non-discretionary RAUM · $5.0M to $3.0MNov 11, 2024 to Feb 12, 2025
- Pension RAUM · $5.0M to $3.0MNov 11, 2024 to Feb 12, 2025
- RAUM · $148M to $226MNov 11, 2024 to Feb 12, 2025
- Accounts · 620 to 707Jan 11, 2023 to Jan 16, 2024
- HNW clients · 15 to 0Jan 11, 2023 to Jan 16, 2024
- Individual clients · 217 to 701Jan 11, 2023 to Jan 16, 2024
- Pooled vehicle clients · unset to 0.0Jan 11, 2023 to Jan 16, 2024
- Discretionary RAUM · $115M to $143MJan 11, 2023 to Jan 16, 2024
- HNW RAUM · $30.0M to $0Jan 11, 2023 to Jan 16, 2024
- Individual RAUM · $81.5M to $143MJan 11, 2023 to Jan 16, 2024
- Non-discretionary RAUM · $0 to $5.0MJan 11, 2023 to Jan 16, 2024
- Pension RAUM · $4.0M to $5.0MJan 11, 2023 to Jan 16, 2024
- Pooled vehicle RAUM · unset to 0.0Jan 11, 2023 to Jan 16, 2024
- RAUM · $115M to $148MJan 11, 2023 to Jan 16, 2024
- Accounts · 579 to 620May 2, 2022 to Jan 11, 2023
- HNW clients · 20 to 15May 2, 2022 to Jan 11, 2023
- Individual clients · 559 to 217May 2, 2022 to Jan 11, 2023
- Pension plan clients · unset to 3.0May 2, 2022 to Jan 11, 2023
- Financial planning clients · 0 to 1-10May 2, 2022 to Jan 11, 2023
Signals
1 dated events
- C•••••• • Q•••• W••••• A••••••• filed its initial SEC registration (Form ADV)Mar 26, 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
- 858-550-0030reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 858-550-0031reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 858-550-0038reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- cq-wa.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 858-550-0030reportedpublic record, Form ADV, Jan 14, 2026
- Contact form
- financialplanningsd.com/connectreportedpublished 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
- $65.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026