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
W•••••••••
Legal name W••••••••• P•••••••• L••
Latest filing Sep 17, 2026
First filing on the tape Aug 15, 2022 · 14 filings
SEC status approved since Sep 15, 2022
RAUM
$370M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$364M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$123M
derived; firm RAUM over IAPD count
Employees
10
3 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$370M as of Jun 18, 2026
Mar 24, 2023$264M then
HNW client RAUM$244M as of Jun 18, 2026
Mar 24, 2023$132M then
State-registered IARs (5.B.3)6 as of Jun 18, 2026
Mar 24, 20234 then
Employees (5.A)7 as of Jun 18, 2026
Mar 24, 20238 then
Private funds: no history
RAUM +11% over the last fiscal year+12% a year over threeIARs 4 to 5offices 8 to 5
Practice profile
derived from the filing of Sep 17, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $123MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 136derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $401,499derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.3derivedItem 5.A over advisors
- Advisors per office
- 0.5derived6 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.2%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $52.3M, 47 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$244M66%
- Individuals$120M32%
- Corporations and businesses$3.8M1.0%
- Charitable organizations$2.3M0.6%
- Individual clients
- 307reported
- HNW clients
- 102reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 922reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $52.3M for 47 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=3.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•• M•••••• D••••••Certified Financial Planner, Chartered Financial Consultant | Santa Rosa, Ca | Sep 29, 2022 | 26 y | 2 |
| A••••• C•••••• B••••Certified Financial Planner | Santa Rosa, Ca | Sep 29, 2022 | 18 y | 3 |
| T•••• A•• M•• | Irvine, Ca | Sep 30, 2022 | 10 y | 1 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months1 left in 90 days0 joined in 90 daysdeparture rate 33% of current headcount1 left over 36 months
Left, latest
- T••••••• M•••••• A••••• to C••••••••• F•••••••• N••••••Aug 3, 2026 · RIA to affiliated broker-dealer or bank
Joined, latest
- T•••• A•• M•• from C••••••••• F•••••••• N••••••Sep 30, 2022 · Affiliated broker-dealer or bank to a newly registered adviser
- J•• M•••••• D•••••• from C••••••••• F•••••••• N••••••Sep 29, 2022 · Affiliated broker-dealer or bank to a newly registered adviser
- T••••••• M•••••• A••••• from C••••••••• F•••••••• N••••••Sep 29, 2022 · Affiliated broker-dealer or bank to a newly registered adviser
- A••••• C•••••• B•••• from C••••••••• F•••••••• N••••••Sep 29, 2022 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 4 joined from C••••••••• F•••••••• N••••••Oct 3, 2022 · Santa Rosa, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••• T•••••••• M•••••• · Principal, Managing Partner, Chief Compliance Officercontrolsince 08/2022 · owns 25% to 50%
- D••••••• J••• M•••••• · Partner, Chief Investment Strategistcontrolsince 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 |
|---|---|---|---|---|---|
| Irvine, Ca | 3 | 0 | 0 | ||
| Long Beach, Ca · principal | 3 | 0 | 0 | ||
| Santa Rosa, Ca | 3 | 0 | 0 | ||
| San Luis Obispo, Ca | 3 | 0 | 1 | ||
| Chino, Ca | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Chino, CA3 employees
- Irvine, CA3 employees
- San Luis Obispo, CA3 employees
- Santa Rosa, CA3 employees
- , 1 employees
What changed
consecutive filings, newest first
- Advisory employees · 4 to 3Jun 18, 2026 to Sep 17, 2026
- BD registered reps · 4 to 3Jun 18, 2026 to Sep 17, 2026
- Employees · 7 to 10Jun 18, 2026 to Sep 17, 2026
- Insurance-licensed employees · 4 to 3Jun 18, 2026 to Sep 17, 2026
- Financial planning clients · 101-250 to 101-250Jun 18, 2026 to Sep 17, 2026
- State-registered IARs · 6 to 5Jun 18, 2026 to Sep 17, 2026
- Other offices · 8 to 5Jun 18, 2026 to Sep 17, 2026
- Succession · false to unsetJun 18, 2026 to Sep 17, 2026
- Accounts · 929 to 922Aug 28, 2025 to Feb 27, 2026
- BD registered reps · 0 to 4Aug 28, 2025 to Feb 27, 2026
- HNW clients · 86 to 102Aug 28, 2025 to Feb 27, 2026
- Individual clients · 328 to 307Aug 28, 2025 to Feb 27, 2026
- Assets in custody · $45.4M to $52.3MAug 28, 2025 to Feb 27, 2026
- Insurance-licensed employees · 0 to 4Aug 28, 2025 to Feb 27, 2026
- Financial planning clients · 51-100 to 101-250Aug 28, 2025 to Feb 27, 2026
- State-registered IARs · 4 to 6Aug 28, 2025 to Feb 27, 2026
- Discretionary RAUM · $333M to $370MAug 28, 2025 to Feb 27, 2026
- HNW RAUM · $202M to $244MAug 28, 2025 to Feb 27, 2026
- Individual RAUM · $126M to $120MAug 28, 2025 to Feb 27, 2026
- RAUM · $333M to $370MAug 28, 2025 to Feb 27, 2026
- Related insurance company · false to trueAug 28, 2025 to Feb 27, 2026
- Accounts · 932 to 929Oct 9, 2024 to Mar 27, 2025
- Corporate clients · 5.0 to unsetOct 9, 2024 to Mar 27, 2025
- HNW clients · 75 to 86Oct 9, 2024 to Mar 27, 2025
- Individual clients · 349 to 328Oct 9, 2024 to Mar 27, 2025
- Assets in custody · $42.7M to $45.4MOct 9, 2024 to Mar 27, 2025
- Financial planning clients · 51-100 to 51-100Oct 9, 2024 to Mar 27, 2025
- Discretionary RAUM · $300M to $333MOct 9, 2024 to Mar 27, 2025
- HNW RAUM · $167M to $202MOct 9, 2024 to Mar 27, 2025
- Individual RAUM · $129M to $126MOct 9, 2024 to Mar 27, 2025
- RAUM · $300M to $333MOct 9, 2024 to Mar 27, 2025
- Advisory employees · 3 to 4Mar 26, 2024 to Oct 9, 2024
- Employees · 8 to 7Mar 26, 2024 to Oct 9, 2024
- Other offices · 4 to 8Mar 26, 2024 to Oct 9, 2024
- Accounts · 918 to 932Aug 8, 2023 to Mar 26, 2024
- Corporate clients · 6 to 5Aug 8, 2023 to Mar 26, 2024
- HNW clients · 63 to 75Aug 8, 2023 to Mar 26, 2024
- Individual clients · 370 to 349Aug 8, 2023 to Mar 26, 2024
- Assets in custody · $38.0M to $42.7MAug 8, 2023 to Mar 26, 2024
- Discretionary RAUM · $264M to $300MAug 8, 2023 to Mar 26, 2024
Signals
3 dated events
- T••••••• M•••••• A••••• left W••••••••• for C••••••••• F•••••••• N•••••• (registered 2026-02-03)Aug 3, 2026 · Advisor changed firm · fact
- 4 advisors left C••••••••• F•••••••• N•••••• (Long Beach, CA) for W••••••••• on the same dayOct 3, 2022 · Team lift-out · derived
- W••••••••• filed its initial SEC registration (Form ADV)Aug 15, 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 email
- nlindsey@wealthspringpartners.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- ldrayton@wealthspringpartners.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- anovosel@wealthspringpartners.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- cgarcia@wealthspringpartners.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- cgreenfield@wealthspringpartners.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- tathans@wealthspringpartners.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- thays@wealthspringpartners.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- tlee@wealthspringpartners.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- twu@wealthspringpartners.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 562-491-4410reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 707-968-7237reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 206-728-2254reportedpublished 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
- $123Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026