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
C••••••••• W••••• L••
Latest filing Jul 11, 2025
First filing on the tape Oct 7, 2021 · 12 filings
SEC status approved since Nov 8, 2021
RAUM
$53.5M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$52.3M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
6 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$53.5M as of Jul 11, 2025
Mar 21, 2022$0 then
HNW client RAUM$28.8M as of Jul 11, 2025
Mar 26, 2024$11.4M then
State-registered IARs (5.B.3)6 as of Jul 11, 2025
Mar 21, 20223 then
Employees (5.A)7 as of Jul 11, 2025
Mar 21, 20224 then
Private funds: no history
RAUM +134% over the last fiscal yearIARs 6 to 6offices 5 to 4
Practice profile
derived from the filing of Jul 11, 2025; every figure names its basis
- RAUM per advisor
- $8.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 21derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $193,150derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 1.2derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +134%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +110%derived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, otherreportedItem 5.G
- Custody
- $5.8M, 30 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$28.8M54%
- Individuals$23.5M44%
- Corporations and businesses$1.2M2.2%
- Individual clients
- 117reported
- HNW clients
- 9reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 277reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $5.8M for 30 clientsreported
- Compensation
- % of AUMreported
- 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
2 left, 0 joined in 12 months
net -2 in 12 months0 left in 90 days0 joined in 90 days2 left over 36 months
Left, latest
- M••• G•••• A•••••••• to F••••••Dec 31, 2025 · RIA to RIA
- J••••• E•••••• Y•••• to W•••••••••Dec 31, 2025 · RIA to RIA
Joined, latest
- J••••• E•••••• Y•••• from T•• R••••••• C•••••• M••••••••• L••May 2, 2024 · Other
- M••• G•••• A•••••••• from W•••••••••May 6, 2022 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• A••••••• B••••• · Chief Compliance Officercontrolsince 09/2021 · owns less than 5%
- V•••••••• C••••••••• P••• · Managing Member/Principalcontrolsince 01/2021 · owns 75% or more
Related persons
Schedule D 7.A
- W•••••••••investment adviseryRAUM $1.1B
Advisers that list C••••••••• W••••• L•• as a related person
- 143996 y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Coronado, Ca | 0 | 0 | 1 | ||
| La Jolla, Ca | 0 | 0 | 2 | ||
| Ramona, Ca | 0 | 0 | 1 | ||
| Willow Park, Tx | 0 | 0 | 1 | ||
| Austin, Tx | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Austin, TX2 employees
- Jackson, WY1 employees
- Newport Beach, CA1 employees
- Weatherford, TX1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Financial planning clients · 0 to 0Apr 29, 2025 to Jul 11, 2025
- Accounts · 138 to 277Jan 15, 2025 to Apr 29, 2025
- Advisory employees · 5 to 6Jan 15, 2025 to Apr 29, 2025
- HNW clients · 6 to 9Jan 15, 2025 to Apr 29, 2025
- Individual clients · 54 to 117Jan 15, 2025 to Apr 29, 2025
- Assets in custody · unset to 5766521.0Jan 15, 2025 to Apr 29, 2025
- Custody of client assets · false to trueJan 15, 2025 to Apr 29, 2025
- Employees · 6 to 7Jan 15, 2025 to Apr 29, 2025
- Other offices · 5 to 4Jan 15, 2025 to Apr 29, 2025
- Discretionary RAUM · $22.9M to $53.5MJan 15, 2025 to Apr 29, 2025
- HNW RAUM · $11.4M to $28.8MJan 15, 2025 to Apr 29, 2025
- Individual RAUM · $11.5M to $23.5MJan 15, 2025 to Apr 29, 2025
- RAUM · $22.9M to $53.5MJan 15, 2025 to Apr 29, 2025
- HQ city · unset to Dec 10, 2024 to Jan 15, 2025
- HQ state · unset to Dec 10, 2024 to Jan 15, 2025
- Advisory activities · 3 to 4Mar 26, 2024 to Aug 8, 2024
- Accounts · 0 to 138Oct 5, 2023 to Mar 26, 2024
- HNW clients · unset to 6.0Oct 5, 2023 to Mar 26, 2024
- Individual clients · unset to 54.0Oct 5, 2023 to Mar 26, 2024
- State-registered IARs · 5 to 6Oct 5, 2023 to Mar 26, 2024
- Discretionary RAUM · $0 to $22.9MOct 5, 2023 to Mar 26, 2024
- HNW RAUM · unset to 11409451.0Oct 5, 2023 to Mar 26, 2024
- Individual RAUM · unset to 11472195.0Oct 5, 2023 to Mar 26, 2024
- RAUM · $0 to $22.9MOct 5, 2023 to Mar 26, 2024
- HQ city · LA JOLLA to unsetApr 28, 2023 to Oct 5, 2023
- HQ state · CA to unsetApr 28, 2023 to Oct 5, 2023
- Other offices · 4 to 5Apr 28, 2023 to Oct 5, 2023
- Advisory employees · 3 to 5Jul 28, 2022 to Mar 22, 2023
- Employees · 4 to 6Jul 28, 2022 to Mar 22, 2023
- Insurance-licensed employees · 3 to 5Jul 28, 2022 to Mar 22, 2023
- State-registered IARs · 3 to 5Jul 28, 2022 to Mar 22, 2023
- Other offices · 3 to 4Mar 21, 2022 to Jul 28, 2022
- Financial planning clients · unset to 0Oct 7, 2021 to Mar 21, 2022
Signals
9 dated events
- C••••••••• W••••• L•• no longer on the SEC adviser roster (last listed 2025-12-20, RAUM $53.5M)Jan 2, 2026 · Left the SEC roster · derived
- Brooksher Lee Morgan no longer registered at C••••••••• W••••• L••; no later IA registration on IAPDDec 31, 2025 · Advisor departure · fact
- M••• G•••• A•••••••• left C••••••••• W••••• L•• for Farther (registered 2026-03-13)Dec 31, 2025 · Advisor changed firm · fact
- J••••• E•••••• Y•••• left C••••••••• W••••• L•• for Worthpointe (registered 2025-11-14)Dec 31, 2025 · Advisor changed firm · fact
- Scott William O'Brien no longer registered at C••••••••• W••••• L••; no later IA registration on IAPDDec 31, 2025 · Advisor departure · fact
- Christopher Paul Van Slyke no longer registered at C••••••••• W••••• L••; no later IA registration on IAPDDec 31, 2025 · Advisor departure · fact
- Morgan Holton Smith no longer registered at C••••••••• W••••• L••; no later IA registration on IAPDDec 31, 2025 · Advisor departure · fact
- John Howes Chapman no longer registered at C••••••••• W••••• L••; no later IA registration on IAPDDec 31, 2024 · Advisor departure · fact
- C••••••••• W••••• L•• filed its initial SEC registration (Form ADV)Oct 7, 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.
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