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

A••••••• W••••• P•••••••• L••

Independent wealth managerSanta Barbara, CaliforniaCRD 317221SEC 801-134612websiteIAPD
Latest filing Mar 12, 2026
First filing on the tape Jan 9, 2026 · 2 filings
SEC status approved since Jan 12, 2026
RAUM
$103M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
100%
$103M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$51.6M
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
2 filings and snapshots on the tape
RAUM$103M as of Mar 12, 2026
Jan 9, 2026$103M then
HNW client RAUM$99.7M as of Mar 12, 2026
Jan 9, 2026$99.7M then
State-registered IARs (5.B.3)1 as of Mar 12, 2026
Jan 9, 20261 then
Employees (5.A)2 as of Mar 12, 2026
Jan 9, 20262 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 12, 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
$51.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
28derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.0MderivedHNW RAUM over HNW clients
Average account
$661,430derivedRAUM over accounts (5.F.2.f)
Discretionary
97%derivedof RAUM
Institutional
0.4%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
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, otherreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$99.7M97%
  • Individuals$3.0M2.9%
  • Charitable organizations$444,4510.4%
Individual clients
6reported
HNW clients
49reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
156reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
A•••• D•••• R•••••Certified Financial PlannerSanta Barbara, CaDec 23, 202115 y3
K•••••• R•••••Santa Barbara, CaJun 6, 202218 y0
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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • R•••••• A••••• D•••• · Chief Compliance Officer/Managing Member/Investment Advisor Representativecontrol
      since 10/2021 · owns 75% or more
    • R•••••• K•••••• · Advisor
      since 06/2022 · owns 5% to 10%
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Santa Barbara, Ca · principal200
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    One filing, no change to show.
    Signals
    No event on the tape.
    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
    805-451-8676reportedpublished by the firm, firm site, Sep 16, 2026
    Business phone
    805-451-9131reportedpublished by the firm, firm site, Sep 16, 2026
    Firm profile
    linkedin.com/company/10696191/adminreportedpublic record, Form ADV, Sep 18, 2026
    Website
    H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
    Principal office phone
    805-451-9131reportedpublic record, Form ADV, Mar 12, 2026
    Team page
    ABUNDANTWP.COM/teamreportedpublished by the firm, firm site, Sep 16, 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
    $51.6Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026