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
D•• W••••• M••••••••• I•••
Latest filing Feb 27, 2026
First filing on the tape Sep 24, 2021 · 12 filings
SEC status approved since Apr 11, 2023
RAUM
$317M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
95%
$302M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$106M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$317M as of Feb 27, 2026
Feb 23, 2022$54.9M then
HNW client RAUM$277M as of Feb 27, 2026
Feb 23, 2022$42.0M then
State-registered IARs (5.B.3)3 as of Feb 27, 2026
Feb 23, 20221 then
Employees (5.A)3 as of Feb 27, 2026
Feb 23, 20221 then
Private funds: no history
RAUM +16% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Feb 27, 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 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $106MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 58derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $631,016derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%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
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.6%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $92.3M, 62 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$277M87%
- Individuals$25.2M7.9%
- Pension and profit-sharing plans$13.6M4.3%
- Corporations and businesses$1.2M0.4%
- Individual clients
- 71reported
- HNW clients
- 103reported
- Pension plan clients
- 5reported
- Charitable clients
- n/areported
- Accounts
- 502reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $92.3M for 62 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D••••• M•••••••••Certified Financial Planner | Stockton, Ca | Oct 27, 2021 | 12 y | 1 |
| T••••• M•••••• W•••Certified Financial Planner, Personal Financial Specialist | Stockton, Ca | Jun 24, 2022 | 29 y | 3 |
| Z•••••• T••••• W•••Certified Financial Planner | Stockton, Ca | Jan 8, 2025 | 11 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
- Z•••••• T••••• W••• from F••••••• P••••••• A•• W•••••••• A•••••••Jan 8, 2025 · Affiliated broker-dealer or bank to independent RIA
- T••••• M•••••• W••• from L••••• G•••••• W••••• M••••••••• L••Jun 24, 2022 · RIA to RIA
- D••••• M••••••••• from L••••• G•••••• W••••• M••••••••• L••Oct 27, 2021 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M••••••••• D••••• · Owner/Chief Compliance Officercontrolsince 08/2021 · 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 |
|---|---|---|---|---|---|
| Stockton, Ca · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 465 to 502Feb 21, 2025 to Feb 27, 2026
- Corporate clients · 2 to 1Feb 21, 2025 to Feb 27, 2026
- HNW clients · 92 to 103Feb 21, 2025 to Feb 27, 2026
- Individual clients · 76 to 71Feb 21, 2025 to Feb 27, 2026
- Assets in custody · $67.1M to $92.3MFeb 21, 2025 to Feb 27, 2026
- Discretionary RAUM · $274M to $317MFeb 21, 2025 to Feb 27, 2026
- HNW RAUM · $236M to $277MFeb 21, 2025 to Feb 27, 2026
- Individual RAUM · $24.4M to $25.2MFeb 21, 2025 to Feb 27, 2026
- Pension RAUM · $12.8M to $13.6MFeb 21, 2025 to Feb 27, 2026
- RAUM · $274M to $317MFeb 21, 2025 to Feb 27, 2026
- Accounts · 447 to 465Nov 19, 2024 to Feb 21, 2025
- Advisory employees · 2 to 3Nov 19, 2024 to Feb 21, 2025
- HNW clients · 82 to 92Nov 19, 2024 to Feb 21, 2025
- Individual clients · 83 to 76Nov 19, 2024 to Feb 21, 2025
- Assets in custody · $56.4M to $67.1MNov 19, 2024 to Feb 21, 2025
- Employees · 2 to 3Nov 19, 2024 to Feb 21, 2025
- Financial planning clients · 101-250 to 101-250Nov 19, 2024 to Feb 21, 2025
- State-registered IARs · 2 to 3Nov 19, 2024 to Feb 21, 2025
- Discretionary RAUM · $216M to $274MNov 19, 2024 to Feb 21, 2025
- HNW RAUM · $179M to $236MNov 19, 2024 to Feb 21, 2025
- Individual RAUM · $25.1M to $24.4MNov 19, 2024 to Feb 21, 2025
- Pension RAUM · $10.7M to $12.8MNov 19, 2024 to Feb 21, 2025
- RAUM · $216M to $274MNov 19, 2024 to Feb 21, 2025
- Accounts · 388 to 447Mar 9, 2023 to Mar 24, 2024
- Corporate clients · 3 to 2Mar 9, 2023 to Mar 24, 2024
- HNW clients · 84 to 82Mar 9, 2023 to Mar 24, 2024
- Individual clients · 73 to 83Mar 9, 2023 to Mar 24, 2024
- Pension plan clients · 6 to 5Mar 9, 2023 to Mar 24, 2024
- Assets in custody · $41.8M to $56.4MMar 9, 2023 to Mar 24, 2024
- Discretionary RAUM · $186M to $216MMar 9, 2023 to Mar 24, 2024
- HNW RAUM · $151M to $179MMar 9, 2023 to Mar 24, 2024
- Individual RAUM · $22.4M to $25.1MMar 9, 2023 to Mar 24, 2024
- Pension RAUM · $12.2M to $10.7MMar 9, 2023 to Mar 24, 2024
- RAUM · $186M to $216MMar 9, 2023 to Mar 24, 2024
- Accounts · 116 to 388Mar 29, 2022 to Mar 9, 2023
- Advisory employees · 1 to 2Mar 29, 2022 to Mar 9, 2023
- Corporate clients · 1 to 3Mar 29, 2022 to Mar 9, 2023
- HNW clients · 24 to 84Mar 29, 2022 to Mar 9, 2023
- Individual clients · 15 to 73Mar 29, 2022 to Mar 9, 2023
- Pension plan clients · 3 to 6Mar 29, 2022 to Mar 9, 2023
Signals
2 dated events
- D•• W••••• M••••••••• I••• reported RAUM $186.5M, up 239% from $54.9M (2022-03-29 to 2023-03-09)Mar 9, 2023 · RAUM change · derived
- D•• W••••• M••••••••• I••• filed its initial SEC registration (Form ADV)Sep 24, 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
- 209-800-5855reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- d••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 209-800-5855reportedpublic record, Form ADV, Feb 27, 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
- $106Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026