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••••••• W••••• A•••••••• L••
Latest filing Mar 18, 2026
First filing on the tape Feb 1, 2022 · 11 filings
SEC status approved since Mar 3, 2022
RAUM
$209M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$209M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$69.7M
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
11 filings and snapshots on the tape
RAUM$209M as of Mar 18, 2026
Mar 6, 2023$157M then
HNW client RAUM$203M as of Mar 18, 2026
Mar 6, 2023$147M then
State-registered IARs (5.B.3)3 as of Mar 18, 2026
Mar 6, 20233 then
Employees (5.A)3 as of Mar 18, 2026
Mar 6, 20233 then
Private funds: no history
RAUM +16% over the last fiscal year+10.0% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 18, 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
- $69.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 15derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $7.5MderivedHNW RAUM over HNW clients
- Average account
- $986,493derivedRAUM 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
- 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
- +7.1%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $97.6M, 21 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$203M97%
- Individuals$5.8M2.8%
- Individual clients
- 18reported
- HNW clients
- 27reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 212reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $97.6M for 21 clientsreported
- 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
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| G•••••• J•••• G•••••Certified Financial Planner | Laguna Niguel, Ca | Mar 7, 2022 | 12 y | 2 |
| G••••• J•• G••••• | Laguna Niguel, Ca | Mar 8, 2022 | 41 y | 5 |
| C•••• G• D•••••Certified Financial Planner | Irvine, Ca | Dec 18, 2024 | 32 y | 4 |
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
- C•••• G• D••••• from C• A•••••••• L••Dec 18, 2024 · RIA to RIA
- G••••• J•• G••••• from C• A•••••••• L••Mar 8, 2022 · RIA to a newly registered adviser
- G•••••• J•••• G••••• from C• A•••••••• L••Mar 7, 2022 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from C• A•••••••• L••May 16, 2022 · Boston, Ma
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••• C••••• G• · Partnercontrolsince 01/2022 · owns 50% to 75%
- G•••••• G•••••• J•• · Chief Compliance Officercontrolsince 01/2022 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Irvine, Ca · principal | 3 | 0 | 0 | ||
| Laguna Niguel, Ca | 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
- unusually large average HNW clientStatic outlier · filing Mar 18, 2026HNW RAUM per HNW client of $7,530,684 against a peer median of $2,404,040 (4940 comparable advisers, 98.0th percentile, 3.5 robust deviations)peers: independent wealth managers, $100M to $500M (4,940) · 98% percentile
What changed
consecutive filings, newest first
- Accounts · 42 to 212Mar 31, 2025 to Mar 18, 2026
- HNW clients · 24 to 27Mar 31, 2025 to Mar 18, 2026
- Assets in custody · $128M to $97.6MMar 31, 2025 to Mar 18, 2026
- Employees · 4 to 3Mar 31, 2025 to Mar 18, 2026
- Discretionary RAUM · $180M to $209MMar 31, 2025 to Mar 18, 2026
- HNW RAUM · $175M to $203MMar 31, 2025 to Mar 18, 2026
- Individual RAUM · $5.6M to $5.8MMar 31, 2025 to Mar 18, 2026
- RAUM · $180M to $209MMar 31, 2025 to Mar 18, 2026
- Accounts · 180 to 42Jul 31, 2024 to Mar 31, 2025
- HNW clients · 26 to 24Jul 31, 2024 to Mar 31, 2025
- Individual clients · 17 to 18Jul 31, 2024 to Mar 31, 2025
- Assets in custody · $114M to $128MJul 31, 2024 to Mar 31, 2025
- Employees · 3 to 4Jul 31, 2024 to Mar 31, 2025
- Financial planning clients · 0 to 0Jul 31, 2024 to Mar 31, 2025
- Discretionary RAUM · $179M to $180MJul 31, 2024 to Mar 31, 2025
- HNW RAUM · $172M to $175MJul 31, 2024 to Mar 31, 2025
- Individual RAUM · $6.1M to $5.6MJul 31, 2024 to Mar 31, 2025
- RAUM · $179M to $180MJul 31, 2024 to Mar 31, 2025
- Related broker-dealer · true to falseMar 18, 2024 to Jul 31, 2024
- Accounts · 157 to 180Mar 6, 2023 to Mar 18, 2024
- BD registered reps · 3 to 0Mar 6, 2023 to Mar 18, 2024
- HNW clients · 19 to 26Mar 6, 2023 to Mar 18, 2024
- Individual clients · 16 to 17Mar 6, 2023 to Mar 18, 2024
- Assets in custody · $96.4M to $114MMar 6, 2023 to Mar 18, 2024
- Discretionary RAUM · $157M to $179MMar 6, 2023 to Mar 18, 2024
- HNW RAUM · $147M to $172MMar 6, 2023 to Mar 18, 2024
- Individual RAUM · $5.4M to $6.1MMar 6, 2023 to Mar 18, 2024
- RAUM · $157M to $179MMar 6, 2023 to Mar 18, 2024
- Accounts · 121 to 157Oct 27, 2022 to Mar 6, 2023
- BD registered reps · 0 to 3Oct 27, 2022 to Mar 6, 2023
- HNW clients · 28 to 19Oct 27, 2022 to Mar 6, 2023
- Individual clients · 6 to 16Oct 27, 2022 to Mar 6, 2023
- Assets in custody · $86.7M to $96.4MOct 27, 2022 to Mar 6, 2023
- Discretionary RAUM · $154M to $157MOct 27, 2022 to Mar 6, 2023
- HNW RAUM · $147M to $147MOct 27, 2022 to Mar 6, 2023
- Individual RAUM · $2.0M to $5.4MOct 27, 2022 to Mar 6, 2023
- RAUM · $154M to $157MOct 27, 2022 to Mar 6, 2023
- Related broker-dealer · false to trueOct 27, 2022 to Mar 6, 2023
- HNW clients · 29 to 28May 20, 2022 to Oct 27, 2022
- Individual clients · 3 to 6May 20, 2022 to Oct 27, 2022
Signals
2 dated events
- 2 advisors left C• A•••••••• L•• (Boston, MA) for F••••••• W••••• A•••••••• L•• on the same dayMay 16, 2022 · Team lift-out · derived
- F••••••• W••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Feb 1, 2022 · 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
- 949-989-2527reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/filigree-wealth-advisorsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- filigreeadvisors.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 949-989-2527reportedpublic record, Form ADV, Mar 18, 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
- $69.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026