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
F•••• L•••• R••••••••• L••
Latest filing Sep 17, 2026
First filing on the tape May 6, 2021 · 13 filings
SEC status approved since Jun 8, 2021
RAUM
$844M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$422M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$844M as of Mar 30, 2026
Jan 12, 2022$668M then
HNW client RAUM$0 as of Mar 30, 2026
Jan 12, 2022$0 then
State-registered IARs (5.B.3)2 as of Mar 30, 2026
Jan 12, 20222 then
Employees (5.A)2 as of Mar 30, 2026
Jan 12, 20222 then
Private funds: no history
RAUM +18% over the last fiscal year+14% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Sep 17, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $422MderivedRAUM 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
- $38.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 100%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%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 assetsreportedItem 5.E
- Advisory activities
- pension consultingreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$844M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 22reported
- Charitable clients
- 0reported
- Accounts
- 22reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=1.0 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••••• T•••••• W•••••• | Del Mar, Ca | Jun 10, 2021 | 40 y | 2 |
| T•••• D•••• W•••••• | Del Mar, Ca | Jan 1, 2025 | 17 y | 1 |
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
- T•••• D•••• W•••••• from W•••• F•••• A•••••••Jan 1, 2025 · Other
- T••••• T•••••• W•••••• from W•••• F•••• A•••••••Jun 10, 2021 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from W•••• F•••• A•••••••Jun 1, 2021 · Rancho Santa Fe, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W••••••• T••••• D• · Managing Member & Chief Compliance Officercontrolsince 02/2021 · 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 |
|---|---|---|---|---|---|
| Del Mar, Ca · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Sep 17, 2026discretionary share of RAUM of 0% against a peer median of 100% (71 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: institutional managers, $500M to $1B (71) · 0.0% percentile
What changed
consecutive filings, newest first
- Related insurance company · false to unsetMar 30, 2026 to Sep 17, 2026
- Financial planning clients · to unsetMar 30, 2026 to Sep 17, 2026
- Related adviser · false to unsetMar 30, 2026 to Sep 17, 2026
- Related bank · false to unsetMar 30, 2026 to Sep 17, 2026
- Related broker-dealer · false to unsetMar 30, 2026 to Sep 17, 2026
- Succession · false to unsetMar 30, 2026 to Sep 17, 2026
- Accounts · 21 to 22Mar 15, 2025 to Mar 30, 2026
- Pension plan clients · 21 to 22Mar 15, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $718M to $844MMar 15, 2025 to Mar 30, 2026
- Pension RAUM · $718M to $844MMar 15, 2025 to Mar 30, 2026
- RAUM · $718M to $844MMar 15, 2025 to Mar 30, 2026
- Accounts · 23 to 21Jan 16, 2024 to Mar 15, 2025
- Pension plan clients · 23 to 21Jan 16, 2024 to Mar 15, 2025
- Financial planning clients · unset to Jan 16, 2024 to Mar 15, 2025
- Non-discretionary RAUM · $666M to $718MJan 16, 2024 to Mar 15, 2025
- Pension RAUM · $666M to $718MJan 16, 2024 to Mar 15, 2025
- RAUM · $666M to $718MJan 16, 2024 to Mar 15, 2025
- Non-discretionary RAUM · $571M to $666MMar 10, 2023 to Jan 16, 2024
- Pension RAUM · $571M to $666MMar 10, 2023 to Jan 16, 2024
- RAUM · $571M to $666MMar 10, 2023 to Jan 16, 2024
- Accounts · 20 to 23Feb 2, 2023 to Mar 10, 2023
- Pension plan clients · 20 to 23Feb 2, 2023 to Mar 10, 2023
- Non-discretionary RAUM · $668M to $571MFeb 2, 2023 to Mar 10, 2023
- Pension RAUM · $668M to $571MFeb 2, 2023 to Mar 10, 2023
- RAUM · $668M to $571MFeb 2, 2023 to Mar 10, 2023
- HQ city · CARLSBAD to DEL MARJan 12, 2022 to Jan 12, 2023
- Accounts · 17 to 20Oct 5, 2021 to Jan 12, 2022
- Pension plan clients · 17 to 20Oct 5, 2021 to Jan 12, 2022
- Non-discretionary RAUM · $495M to $668MOct 5, 2021 to Jan 12, 2022
- Pension RAUM · $495M to $668MOct 5, 2021 to Jan 12, 2022
- RAUM · $495M to $668MOct 5, 2021 to Jan 12, 2022
- Accounts · 0 to 17Jun 17, 2021 to Oct 5, 2021
- Charity clients · unset to 0.0Jun 17, 2021 to Oct 5, 2021
- Corporate clients · unset to 0.0Jun 17, 2021 to Oct 5, 2021
- HNW clients · unset to 0.0Jun 17, 2021 to Oct 5, 2021
- Individual clients · unset to 0.0Jun 17, 2021 to Oct 5, 2021
- Pension plan clients · unset to 17.0Jun 17, 2021 to Oct 5, 2021
- Pooled vehicle clients · unset to 0.0Jun 17, 2021 to Oct 5, 2021
- HNW RAUM · unset to 0.0Jun 17, 2021 to Oct 5, 2021
- Individual RAUM · unset to 0.0Jun 17, 2021 to Oct 5, 2021
Signals
2 dated events
- F•••• L•••• R••••••••• L•• reported RAUM $668.0M, up 35% from $494.5M (2021-10-05 to 2022-01-12)Jan 12, 2022 · RAUM change · derived
- F•••• L•••• R••••••••• L•• filed its initial SEC registration (Form ADV)May 6, 2021 · ria f•••• adv filing · 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
- Website
- f•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 858-692-1283reportedpublic record, Form ADV, 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
- Institutional managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $422Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026