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
T•••• W••••• A•••••••
Legal name T•••• W••••• A•••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Nov 30, 2021 · 17 filings
SEC status approved since Jan 3, 2022
RAUM
$295M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
71%
$208M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$295M
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
17 filings and snapshots on the tape
RAUM$295M as of Mar 27, 2026
Mar 28, 2023$225M then
HNW client RAUM$207M as of Mar 27, 2026
Mar 28, 2023$177M then
State-registered IARs (5.B.3)1 as of Mar 27, 2026
Mar 28, 20231 then
Employees (5.A)1 as of Mar 27, 2026
Mar 28, 20231 then
Private funds: no history
RAUM +7.9% over the last fiscal year+9.4% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $295MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 62derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.9MderivedHNW RAUM over HNW clients
- Average account
- $2.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 13%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
- +7.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.8%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, otherreportedItem 5.G
- Wrap fee program
- $295MreportedItem 5.I
- Custody
- $300,000, 1 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$207M70%
- Corporations and businesses$49.1M17%
- Charitable organizations$37.9M13%
- Individuals$1.2M0.4%
- Individual clients
- 9reported
- HNW clients
- 53reported
- Pension plan clients
- n/areported
- Charitable clients
- 2reported
- Accounts
- 116reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $300,000 for 1 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.71 fund_share=0.0 institutional_share=0.13 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P•••• F•••• H•••••••Chartered Financial Analyst | Los Angeles, Ca | Jan 31, 2022 | 20 y | 3 |
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
- D•••• B••••••• to S••••••• I••••••••• A•••••••• I•••Nov 2, 2022 · Other
Joined, latest
- P•••• F•••• H••••••• from L•• F•••••••• L••Jan 31, 2022 · Affiliated broker-dealer or bank to a newly registered adviser
- D•••• B••••••• from M• H••••••• S••••••••• I•••Jan 21, 2022 · Affiliated broker-dealer or bank to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••••• P••••• F•••• · Managing Member, President, Chief Compliance Officercontrolsince 03/2019 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 61 to 116Mar 27, 2025 to Mar 27, 2026
- HNW clients · 48 to 53Mar 27, 2025 to Mar 27, 2026
- Assets in custody · $700,000 to $300,000Mar 27, 2025 to Mar 27, 2026
- Discretionary RAUM · $273M to $295MMar 27, 2025 to Mar 27, 2026
- HNW RAUM · $192M to $207MMar 27, 2025 to Mar 27, 2026
- Individual RAUM · $1.1M to $1.2MMar 27, 2025 to Mar 27, 2026
- RAUM · $273M to $295MMar 27, 2025 to Mar 27, 2026
- Accounts · 111 to 61Dec 17, 2024 to Mar 27, 2025
- Charity clients · 1 to 2Dec 17, 2024 to Mar 27, 2025
- HNW clients · 44 to 48Dec 17, 2024 to Mar 27, 2025
- Individual clients · 10 to 9Dec 17, 2024 to Mar 27, 2025
- Assets in custody · unset to 700000.0Dec 17, 2024 to Mar 27, 2025
- Custody of client assets · false to trueDec 17, 2024 to Mar 27, 2025
- Financial planning clients · 0 to 0Dec 17, 2024 to Mar 27, 2025
- HQ city · unset to Dec 17, 2024 to Mar 27, 2025
- HQ state · unset to Dec 17, 2024 to Mar 27, 2025
- Discretionary RAUM · $248M to $273MDec 17, 2024 to Mar 27, 2025
- HNW RAUM · $195M to $192MDec 17, 2024 to Mar 27, 2025
- Individual RAUM · $1.3M to $1.1MDec 17, 2024 to Mar 27, 2025
- RAUM · $248M to $273MDec 17, 2024 to Mar 27, 2025
- Accounts · 99 to 111Dec 1, 2023 to Mar 14, 2024
- Corporate clients · 3 to 2Dec 1, 2023 to Mar 14, 2024
- HNW clients · 32 to 44Dec 1, 2023 to Mar 14, 2024
- Individual clients · 6 to 10Dec 1, 2023 to Mar 14, 2024
- Financial planning clients · 1-10 to 0Dec 1, 2023 to Mar 14, 2024
- Discretionary RAUM · $225M to $248MDec 1, 2023 to Mar 14, 2024
- HNW RAUM · $177M to $195MDec 1, 2023 to Mar 14, 2024
- Individual RAUM · $793,570 to $1.3MDec 1, 2023 to Mar 14, 2024
- RAUM · $225M to $248MDec 1, 2023 to Mar 14, 2024
- Wrap assets (manager) · unset to 0.0Dec 1, 2023 to Mar 14, 2024
- Wrap assets (sponsor) · unset to 0.0Dec 1, 2023 to Mar 14, 2024
- Accounts · 97 to 99Nov 2, 2022 to Mar 28, 2023
- BD registered reps · 1 to 0Nov 2, 2022 to Mar 28, 2023
- Corporate clients · unset to 3.0Nov 2, 2022 to Mar 28, 2023
- HNW clients · 47 to 32Nov 2, 2022 to Mar 28, 2023
- Individual clients · unset to 6.0Nov 2, 2022 to Mar 28, 2023
- Pension plan clients · 3.0 to unsetNov 2, 2022 to Mar 28, 2023
- Employees · 3 to 1Nov 2, 2022 to Mar 28, 2023
- HQ city · LOS ANGELES to unsetNov 2, 2022 to Mar 28, 2023
- HQ state · CA to unsetNov 2, 2022 to Mar 28, 2023
Signals
3 dated events
- D•••• B••••••• left T•••• W••••• A••••••• for S••••••• I••••••••• A•••••••• I••• (registered 2025-01-02)Nov 2, 2022 · Advisor changed firm · fact
- D•••• B••••••• (Chief Compliance Officer) appeared on Schedule A of T•••• W••••• A•••••••Jan 20, 2022 · Control person joined · fact
- T•••• W••••• A••••••• filed its initial SEC registration (Form ADV)Nov 30, 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
- 310-569-4534reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- tracewa.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 310-569-4534reportedpublic record, Form ADV, Mar 27, 2026
- Contact form
- tracewealthadvisors.com/contact-usreportedpublished 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
- $295Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026