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••••• P••••••• L••
Latest filing Jun 10, 2026
First filing on the tape Jul 26, 2024 · 5 filings
SEC status approved since Aug 26, 2024
RAUM
$418M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
100%
$418M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$209M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$418M as of Jun 10, 2026
Mar 18, 2025$232M then
HNW client RAUM$418M as of Jun 10, 2026
Mar 18, 2025$232M then
State-registered IARs (5.B.3)2 as of Jun 10, 2026
Mar 18, 20252 then
Employees (5.A)4 as of Jun 10, 2026
Mar 18, 20253 then
Private funds: no history
RAUM +80% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Jun 10, 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
- $139MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.7MderivedHNW RAUM over HNW clients
- Average account
- $953,384derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +80%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $66.0M, 38 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$418M100%
- Individual clients
- n/areported
- HNW clients
- 73reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 438reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $66.0M for 38 clientsreported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• M•••••• W•••Chartered Financial Analyst | Newport Beach, Ca | Jun 23, 2022 | 26 y | 1 |
| K•••• M•••••• W••••••Certified Financial Planner | Newport Beach, Ca | Aug 26, 2022 | 26 y | 2 |
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
- K•••• M•••••• W•••••• from A••••••••• L•••Aug 26, 2022 · Other
- J••• M•••••• W••• from V•••• A•••••••• I•••Jun 23, 2022 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- W•••• J•••• M•••••• · Managing Parter, Co-Founder / Chief Compliance Officercontrolsince 05/2022 · owns 50% to 75%
- W••••••• K••••• M•••••• · Managing Partner, Co-Foundercontrolsince 08/2022 · 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 |
|---|---|---|---|---|---|
| Newport Beach, Ca · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Mar 16, 2026RAUM (Item 5.F) moved from $232,393,872 to $417,582,237 (+80.0%) between the annual amendments of 2025-03-18 and 2026-03-16; the peer median change was +15.0% (4550 comparable advisers, 98.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 98% percentile
What changed
consecutive filings, newest first
- Employees · 5 to 4Mar 16, 2026 to Jun 10, 2026
- Accounts · 306 to 438Oct 16, 2025 to Mar 16, 2026
- HNW clients · 51 to 73Oct 16, 2025 to Mar 16, 2026
- Assets in custody · $3.9M to $66.0MOct 16, 2025 to Mar 16, 2026
- Employees · 3 to 5Oct 16, 2025 to Mar 16, 2026
- Financial planning clients · 26-50 to 11-25Oct 16, 2025 to Mar 16, 2026
- Discretionary RAUM · $222M to $397MOct 16, 2025 to Mar 16, 2026
- HNW RAUM · $232M to $418MOct 16, 2025 to Mar 16, 2026
- Non-discretionary RAUM · $10.0M to $20.6MOct 16, 2025 to Mar 16, 2026
- RAUM · $232M to $418MOct 16, 2025 to Mar 16, 2026
- Accounts · 206 to 306Jul 26, 2024 to Mar 18, 2025
- HNW clients · 38 to 51Jul 26, 2024 to Mar 18, 2025
- Assets in custody · unset to 3911504.0Jul 26, 2024 to Mar 18, 2025
- Custody of client assets · false to trueJul 26, 2024 to Mar 18, 2025
- Financial planning clients · 26-50 to 26-50Jul 26, 2024 to Mar 18, 2025
- Discretionary RAUM · $111M to $222MJul 26, 2024 to Mar 18, 2025
- HNW RAUM · $115M to $232MJul 26, 2024 to Mar 18, 2025
- Non-discretionary RAUM · $4.3M to $10.0MJul 26, 2024 to Mar 18, 2025
- RAUM · $115M to $232MJul 26, 2024 to Mar 18, 2025
Signals
3 dated events
- F••••••• W••••• P••••••• L•• reported RAUM $417.6M, up 80% from $232.4M (2025-10-16 to 2026-03-16)Mar 16, 2026 · RAUM change · derived
- F••••••• W••••• P••••••• L•• reported RAUM $232.4M, up 102% from $115.2M (2024-07-26 to 2025-03-18)Mar 18, 2025 · RAUM change · derived
- F••••••• W••••• P••••••• L•• filed its initial SEC registration (Form ADV)Jul 26, 2024 · 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 email
- info@flatrockwealth.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 949-687-2615reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/flatrock-wealth-partners/?viewAsMember=reportedpublic record, Form ADV, Sep 18, 2026
- Website
- flatrockwealth.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (949) 687-2615reportedpublic record, Form ADV, Jun 10, 2026
- Team page
- flatrockwealth.com/meet-our-teamreportedpublished by the firm, firm site, Sep 15, 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
- $209Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026