DFX Intelligence
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SEC-registered adviser
W•••••••• W••••• M•••••••••
Legal name W•••••••• S••••••••• L••
Latest filing Feb 12, 2026
First filing on the tape Nov 22, 2021 · 13 filings
SEC status approved since Jan 3, 2022
RAUM
$110M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$110M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$110M
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
13 filings and snapshots on the tape
RAUM$110M as of Feb 12, 2026
Mar 9, 2023$91.6M then
HNW client RAUM$105M as of Feb 12, 2026
Mar 9, 2023$80.6M then
State-registered IARs (5.B.3)1 as of Feb 12, 2026
Mar 9, 20231 then
Employees (5.A)1 as of Feb 12, 2026
Mar 9, 20231 then
Private funds: no history
RAUM +7.6% over the last fiscal year+6.3% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Feb 12, 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
- RAUM per advisor
- $110MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 40derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.5MderivedHNW RAUM over HNW clients
- Average account
- $1.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%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
- +7.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -46%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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$105M95%
- Individuals$5.0M4.5%
- Individual clients
- 10reported
- HNW clients
- 30reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 80reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••• A•••••• W•••••••• | Newport Beach, Ca | Feb 11, 2026 | 34 y | 2 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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
- B•••• A•••••• W•••••••• from W•••• F•••• A•••••••Feb 11, 2026 · Wirehouse to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W••••••••• B••••• A•••••• · Chief Compliance Officercontrolsince 12/2021 · 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 · 74 to 80Jan 29, 2025 to Feb 12, 2026
- HNW clients · 62 to 30Jan 29, 2025 to Feb 12, 2026
- Individual clients · 12 to 10Jan 29, 2025 to Feb 12, 2026
- Discretionary RAUM · $102M to $110MJan 29, 2025 to Feb 12, 2026
- HNW RAUM · $99.4M to $105MJan 29, 2025 to Feb 12, 2026
- Individual RAUM · $2.8M to $5.0MJan 29, 2025 to Feb 12, 2026
- RAUM · $102M to $110MJan 29, 2025 to Feb 12, 2026
- Accounts · 87 to 74Jan 19, 2024 to Jan 29, 2025
- HNW clients · 28 to 62Jan 19, 2024 to Jan 29, 2025
- Individual clients · 10 to 12Jan 19, 2024 to Jan 29, 2025
- Financial planning clients · unset to Jan 19, 2024 to Jan 29, 2025
- Discretionary RAUM · $93.1M to $102MJan 19, 2024 to Jan 29, 2025
- HNW RAUM · $91.3M to $99.4MJan 19, 2024 to Jan 29, 2025
- Individual RAUM · $1.9M to $2.8MJan 19, 2024 to Jan 29, 2025
- RAUM · $93.1M to $102MJan 19, 2024 to Jan 29, 2025
- Accounts · 89 to 87Mar 9, 2023 to Jan 19, 2024
- HNW clients · 22 to 28Mar 9, 2023 to Jan 19, 2024
- Individual clients · 27 to 10Mar 9, 2023 to Jan 19, 2024
- Discretionary RAUM · $91.6M to $93.1MMar 9, 2023 to Jan 19, 2024
- HNW RAUM · $80.6M to $91.3MMar 9, 2023 to Jan 19, 2024
- Individual RAUM · $11.0M to $1.9MMar 9, 2023 to Jan 19, 2024
- RAUM · $91.6M to $93.1MMar 9, 2023 to Jan 19, 2024
- Accounts · 91 to 89May 19, 2022 to Mar 9, 2023
- HNW clients · 40 to 22May 19, 2022 to Mar 9, 2023
- Individual clients · unset to 27.0May 19, 2022 to Mar 9, 2023
- Discretionary RAUM · $131M to $91.6MMay 19, 2022 to Mar 9, 2023
- HNW RAUM · $151M to $80.6MMay 19, 2022 to Mar 9, 2023
- Individual RAUM · unset to 11042000.0May 19, 2022 to Mar 9, 2023
- Non-discretionary RAUM · $20.7M to $0May 19, 2022 to Mar 9, 2023
- RAUM · $151M to $91.6MMay 19, 2022 to Mar 9, 2023
- Accounts · 0 to 91Mar 1, 2022 to Apr 22, 2022
- HNW clients · unset to 40.0Mar 1, 2022 to Apr 22, 2022
- Discretionary RAUM · $0 to $131MMar 1, 2022 to Apr 22, 2022
- HNW RAUM · unset to 151355226.0Mar 1, 2022 to Apr 22, 2022
- Non-discretionary RAUM · $0 to $20.7MMar 1, 2022 to Apr 22, 2022
- RAUM · $0 to $151MMar 1, 2022 to Apr 22, 2022
Signals
1 dated events
- W•••••••• W••••• M••••••••• filed its initial SEC registration (Form ADV)Nov 22, 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
- 949-200-4620reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- w•••••••••.comreportedpublic record, Form ADV, Feb 12, 2026
- Principal office phone
- 949-200-4620reportedpublic record, Form ADV, Feb 12, 2026
- Contact form
- w•••••••••.comreportedpublished by the firm, firm site, 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $110Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026