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
W••••• M••••••••• S••••••••• L••
Latest filing Jan 30, 2024
First filing on the tape Feb 22, 2022 · 8 filings
RAUM
$37.2M
reported, Item 5.F
Discretionary
91%
of RAUM
Private clients
99%
$36.9M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$37.2M as of Jan 30, 2024
Feb 15, 2023$112M then
HNW client RAUM$31.3M as of Jan 30, 2024
Feb 15, 2023$59.2M then
State-registered IARs (5.B.3)1 as of Jan 30, 2024
Feb 15, 20232 then
Employees (5.A)1 as of Jan 30, 2024
Feb 15, 20232 then
Private funds: no history
RAUM -67% over the last fiscal yearIARs 2 to 1
Practice profile
derived from the filing of Jan 30, 2024; every figure names its basis
- RAUM per advisor
- $37.2MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 26derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $516,495derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 91%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
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -67%derivedbetween the last two annual amendments
- Advisor growth, one year
- -50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -95%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, 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
- High-net-worth individuals$31.3M84%
- Individuals$5.6M15%
- Corporations and businesses$306,7960.8%
- Individual clients
- 16reported
- HNW clients
- 10reported
- Pension plan clients
- 0reported
- Charitable clients
- 1reported
- Accounts
- 72reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- 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
Left, latest
- R•••••• A•••••• R••• to B••••• W••••• P•••••••• I•••May 1, 2024 · RIA to RIA
- M••••• J•••••• L••••••• to M••••••••• C••••••• L••Nov 6, 2023 · RIA to RIA
Joined, latest
- M••••• J•••••• L••••••• from F•••••••• A•••••••• I••••••••• M•••••••••May 20, 2021 · RIA to RIA
- R•••••• A•••••• R••• from F•••••••• A•••••••• I••••••••• M•••••••••May 20, 2021 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- R•••• R••••••• A•••••• · Managing Member & Chief Compliance Officercontrolsince 05/2021 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Newport Beach, Ca · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 545 to 72Nov 6, 2023 to Jan 30, 2024
- Corporate clients · 0 to 2Nov 6, 2023 to Jan 30, 2024
- HNW clients · 27 to 10Nov 6, 2023 to Jan 30, 2024
- Individual clients · 512 to 16Nov 6, 2023 to Jan 30, 2024
- Pension plan clients · 5 to 0Nov 6, 2023 to Jan 30, 2024
- Discretionary RAUM · $120M to $34.0MNov 6, 2023 to Jan 30, 2024
- HNW RAUM · $69.9M to $31.3MNov 6, 2023 to Jan 30, 2024
- Individual RAUM · $52.3M to $5.6MNov 6, 2023 to Jan 30, 2024
- Non-discretionary RAUM · $3.2M to $3.2MNov 6, 2023 to Jan 30, 2024
- Pension RAUM · $525,800 to $0Nov 6, 2023 to Jan 30, 2024
- RAUM · $124M to $37.2MNov 6, 2023 to Jan 30, 2024
- Advisory employees · 2 to 1Oct 30, 2023 to Nov 6, 2023
- BD registered reps · 2 to 1Oct 30, 2023 to Nov 6, 2023
- Employees · 2 to 1Oct 30, 2023 to Nov 6, 2023
- State-registered IARs · 2 to 1Oct 30, 2023 to Nov 6, 2023
- Other offices · 2 to 0Oct 30, 2023 to Nov 6, 2023
- Accounts · 529 to 545Feb 15, 2023 to Sep 22, 2023
- Advisory activities · 2 to 3Feb 15, 2023 to Sep 22, 2023
- Corporate clients · 3 to 0Feb 15, 2023 to Sep 22, 2023
- HNW clients · 24 to 27Feb 15, 2023 to Sep 22, 2023
- Individual clients · 494 to 512Feb 15, 2023 to Sep 22, 2023
- Pension plan clients · 7 to 5Feb 15, 2023 to Sep 22, 2023
- Other offices · 0 to 2Feb 15, 2023 to Sep 22, 2023
- Discretionary RAUM · $109M to $120MFeb 15, 2023 to Sep 22, 2023
- HNW RAUM · $59.2M to $69.9MFeb 15, 2023 to Sep 22, 2023
- Individual RAUM · $51.4M to $52.3MFeb 15, 2023 to Sep 22, 2023
- Non-discretionary RAUM · $3.2M to $3.2MFeb 15, 2023 to Sep 22, 2023
- Pension RAUM · $628,623 to $525,800Feb 15, 2023 to Sep 22, 2023
- RAUM · $112M to $124MFeb 15, 2023 to Sep 22, 2023
- Accounts · 411 to 529Oct 27, 2022 to Feb 15, 2023
- Charity clients · unset to 1.0Oct 27, 2022 to Feb 15, 2023
- Corporate clients · 1 to 3Oct 27, 2022 to Feb 15, 2023
- HNW clients · 25 to 24Oct 27, 2022 to Feb 15, 2023
- Individual clients · 189 to 494Oct 27, 2022 to Feb 15, 2023
- Pension plan clients · unset to 7.0Oct 27, 2022 to Feb 15, 2023
- Pooled vehicle clients · unset to 0.0Oct 27, 2022 to Feb 15, 2023
- Financial planning clients · 51-100 to 26-50Oct 27, 2022 to Feb 15, 2023
- Discretionary RAUM · $107M to $109MOct 27, 2022 to Feb 15, 2023
- HNW RAUM · $67.1M to $59.2MOct 27, 2022 to Feb 15, 2023
- Individual RAUM · $47.8M to $51.4MOct 27, 2022 to Feb 15, 2023
Signals
3 dated events
- Richard Anthony Riva left Wealth Management Solutions, Llc for Balboa Wealth Partners, Inc. (registered 2024-05-01)May 1, 2024 · Advisor changed firm · fact
- Martin Jeffrey Lombrano left Wealth Management Solutions, Llc for Miramontes Capital, Llc (registered 2026-01-02)Nov 6, 2023 · Advisor changed firm · fact
- Wealth Management Solutions, Llc filed its initial SEC registration (Form ADV)Feb 22, 2022 · 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