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
C•••••• W•••••• L••
Latest filing Apr 7, 2026
First filing on the tape Sep 20, 2022 · 20 filings
SEC status approved since Oct 25, 2022
RAUM
$851M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
95%
$807M individuals and HNW
Advisors
9
registered through the firm on IAPD
RAUM per advisor
$94.5M
derived; firm RAUM over IAPD count
Employees
17
8 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$851M as of Apr 7, 2026
Feb 22, 2023$393M then
HNW client RAUM$633M as of Apr 7, 2026
Feb 22, 2023$288M then
State-registered IARs (5.B.3)8 as of Apr 7, 2026
Feb 22, 20238 then
Employees (5.A)17 as of Apr 7, 2026
Feb 22, 202314 then
Private funds: no history
RAUM +2.1% over the last fiscal year+29% a year over threeIARs 10 to 8offices 2 to 1
Practice profile
derived from the filing of Apr 7, 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
- 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
- RAUM per advisor
- $94.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 219derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $752,122derivedHNW RAUM over HNW clients
- Average account
- $421,422derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 3.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.9derivedItem 5.A over advisors
- Advisors per office
- 4.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +2.1%derivedbetween the last two annual amendments
- Advisor growth, one year
- -20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +17%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, otherreportedItem 5.G
- Custody
- $609M, 597 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
- is an insurance broker or agent (6.A.6)
- 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)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$633M74%
- Individuals$174M20%
- Charitable organizations$23.4M2.7%
- Corporations and businesses$11.2M1.3%
- Pension and profit-sharing plans$8.9M1.0%
- Individual clients
- 1,132reported
- HNW clients
- 842reported
- Pension plan clients
- 21reported
- Charitable clients
- 11reported
- Accounts
- 2,019reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $609M for 597 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
9 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••• R••••• A•••••••Certified Financial Planner | Santa Barbara, Ca | Oct 28, 2022 | 24 y | 4 |
| B•••• E••••• W•••••••• | Santa Barbara, Ca | Oct 28, 2022 | 13 y | 2 |
| R••• L• A•••••••Certified Financial Planner | Santa Barbara, Ca | Oct 28, 2022 | 16 y | 2 |
| C•••••••• R••••••• S•••••• | Santa Barbara, Ca | Oct 28, 2022 | 15 y | 2 |
| M•••• G•••••••• V••••••••• | Santa Barbara, Ca | Feb 8, 2024 | 12 y | 0 |
| M•••••• J••• P••••••• | Santa Barbara, Ca | Jan 1, 2025 | 18 y | 1 |
| J••••• T•••••• P•••••• | Santa Barbara, Ca | Jan 1, 2025 | 28 y | 4 |
| J••••• R••••• O••••••••• | Santa Barbara, Ca | Jan 1, 2025 | 16 y | 2 |
| A•••••••• R••••••••• B•••••••• | Santa Barbara, Ca | May 27, 2026 | 10 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 11% of current headcount2 left over 36 months
Left, latest
- T•••• W••••••••• to D••••••••• F••• A••••••• L•Feb 12, 2026 · Other
- S•••• E•••• T•••• to A••••••• S••••••• N••••••Nov 30, 2023 · RIA to RIA
Joined, latest
- J••••• T•••••• P•••••• from S•••••••• F••••••••• I•••Jan 1, 2025 · Affiliated broker-dealer or bank to independent RIA
- J••••• R••••• O••••••••• from N••••• A•••• M••••••••• L••Jan 1, 2025 · Other
- M•••••• J••• P••••••• from S•••••••• F••••••••• I•••Jan 1, 2025 · Affiliated broker-dealer or bank to independent RIA
- J••••• R••••• A••••••• from T•• A•••••••• G••••Oct 28, 2022 · Other
- B•••• E••••• W•••••••• from S•••••••• F••••••••• I•••Oct 28, 2022 · Affiliated broker-dealer or bank to a newly registered adviser
- R••• L• A••••••• from S•••••••• F••••••••• I•••Oct 28, 2022 · Affiliated broker-dealer or bank to a newly registered adviser
- C•••••••• R••••••• S•••••• from S•••••••• F••••••••• I•••Oct 28, 2022 · Affiliated broker-dealer or bank to a newly registered adviser
- S•••• E•••• T•••• from S•••••••• F••••••••• I•••Oct 28, 2022 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 6 joined from S•••••••• F••••••••• I•••Nov 1, 2022 · Santa Barbara, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••••• J•••••• R••••• · Partnercontrolsince 09/2022 · owns 25% to 50%
- E•••••••• M•••••••• L•• · Chief Compliance Officercontrolsince 09/2023 · owns less than 5%
- P•••••••• M••••••• J••• · Partnercontrolsince 09/2022 · owns 10% to 25%
- P••••••• J•••••• T•••••• · Partnercontrolsince 09/2022 · owns 5% to 10%
- S••••••• C••••••••• R••••••• · Partnercontrolsince 09/2022 · owns 25% to 50%
- W••••••••• B••••• E••••• · Partnercontrolsince 09/2022 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Santa Barbara, Ca · principal | 9 | 1 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Rancho Santa Margarita, CA1 employees
- Santa Barbara, CA1 employees
ADV anomalies
5 against comparable advisers; where to look, not conclusions
- institutional to wealth shiftCombination · filing Apr 7, 2026institutional share fell 15 points or more while private-client share rose 15 points or more. RAUM $833,014,360 to $850,851,480, advisors 10 to 8, private clients 1684 to 1974, offices 2 to 1 (2025-03-28 to 2026-04-07)peers: independent wealth managers, $500M to $1B (1,482)
- HNW share shiftChange between filings · filing Apr 7, 2026HNW share of RAUM moved from 58.0% to 74.0% between the annual amendments of 2025-03-28 and 2026-04-07peers: independent wealth managers, $500M to $1B (1,482)
- discretionary share shiftChange between filings · filing Apr 7, 2026discretionary share of RAUM moved from 82.0% to 99.0% between the annual amendments of 2025-03-28 and 2026-04-07peers: independent wealth managers, $500M to $1B (1,482)
- institutional asset share shiftChange between filings · filing Apr 7, 2026institutional share of RAUM moved from 24.0% to 5.0% between the annual amendments of 2025-03-28 and 2026-04-07peers: independent wealth managers, $500M to $1B (1,482)
- client mix shiftChange between filings · filing Apr 7, 2026private-client share of RAUM moved from 76.0% to 95.0% between the annual amendments of 2025-03-28 and 2026-04-07peers: independent wealth managers, $500M to $1B (1,482)
What changed
consecutive filings, newest first
- Accounts · 1,796 to 2,019Dec 16, 2025 to Mar 24, 2026
- Advisory employees · 10 to 8Dec 16, 2025 to Mar 24, 2026
- Corporate clients · 14 to 13Dec 16, 2025 to Mar 24, 2026
- HNW clients · 669 to 842Dec 16, 2025 to Mar 24, 2026
- Individual clients · 1,015 to 1,132Dec 16, 2025 to Mar 24, 2026
- Pension plan clients · 87 to 21Dec 16, 2025 to Mar 24, 2026
- Assets in custody · $61.1M to $609MDec 16, 2025 to Mar 24, 2026
- State-registered IARs · 10 to 8Dec 16, 2025 to Mar 24, 2026
- Other offices · 2 to 1Dec 16, 2025 to Mar 24, 2026
- Discretionary RAUM · $681M to $841MDec 16, 2025 to Mar 24, 2026
- HNW RAUM · $482M to $633MDec 16, 2025 to Mar 24, 2026
- Individual RAUM · $155M to $174MDec 16, 2025 to Mar 24, 2026
- Non-discretionary RAUM · $152M to $9.9MDec 16, 2025 to Mar 24, 2026
- Pension RAUM · $167M to $8.9MDec 16, 2025 to Mar 24, 2026
- RAUM · $833M to $851MDec 16, 2025 to Mar 24, 2026
- Financial planning clients · 1-10 to 1-10Mar 28, 2025 to Jul 11, 2025
- Accounts · 1,545 to 1,796Feb 28, 2025 to Mar 28, 2025
- Advisory employees · 8 to 10Feb 28, 2025 to Mar 28, 2025
- Charity clients · 12 to 11Feb 28, 2025 to Mar 28, 2025
- Corporate clients · 11 to 14Feb 28, 2025 to Mar 28, 2025
- HNW clients · 591 to 669Feb 28, 2025 to Mar 28, 2025
- Individual clients · 916 to 1,015Feb 28, 2025 to Mar 28, 2025
- Pension plan clients · 15 to 87Feb 28, 2025 to Mar 28, 2025
- Assets in custody · $339M to $61.1MFeb 28, 2025 to Mar 28, 2025
- Employees · 15 to 17Feb 28, 2025 to Mar 28, 2025
- State-registered IARs · 8 to 10Feb 28, 2025 to Mar 28, 2025
- Discretionary RAUM · $530M to $681MFeb 28, 2025 to Mar 28, 2025
- HNW RAUM · $367M to $482MFeb 28, 2025 to Mar 28, 2025
- Individual RAUM · $131M to $155MFeb 28, 2025 to Mar 28, 2025
- Non-discretionary RAUM · $185,689 to $152MFeb 28, 2025 to Mar 28, 2025
- Pension RAUM · $11.7M to $167MFeb 28, 2025 to Mar 28, 2025
- RAUM · $531M to $833MFeb 28, 2025 to Mar 28, 2025
- Assets in custody · $331M to $339MMar 29, 2024 to Apr 23, 2024
- Accounts · 1,203 to 1,545Sep 29, 2023 to Mar 29, 2024
- Advisory employees · 10 to 8Sep 29, 2023 to Mar 29, 2024
- Charity clients · unset to 12.0Sep 29, 2023 to Mar 29, 2024
- Corporate clients · 13 to 11Sep 29, 2023 to Mar 29, 2024
- HNW clients · 519 to 591Sep 29, 2023 to Mar 29, 2024
- Individual clients · 666 to 916Sep 29, 2023 to Mar 29, 2024
- Pension plan clients · 5 to 15Sep 29, 2023 to Mar 29, 2024
Signals
7 dated events
- C•••••• W•••••• L•• reported RAUM $833.0M, up 57% from $530.5M (2025-02-28 to 2025-03-28)Mar 28, 2025 · RAUM change · derived
- C•••••• W•••••• L•• reported RAUM $530.5M, up 35% from $392.8M (2023-09-29 to 2024-03-29)Mar 29, 2024 · RAUM change · derived
- S•••• E•••• T•••• left C•••••• W•••••• L•• for A••••••• S••••••• N•••••• (registered 2025-01-01)Nov 30, 2023 · Advisor changed firm · fact
- Leigh Stacy Sizemore (Chief Compliance Officer) no longer on Schedule A of C•••••• W•••••• L•• (listed 2023-09-21, absent 2023-09-29)Sep 29, 2023 · Control person left · inference
- Lea Michelle Eldridge (Chief Compliance Officer) appeared on Schedule A of C•••••• W•••••• L••Sep 29, 2023 · Control person joined · fact
- 6 advisors left S•••••••• F••••••••• I••• (Santa Barbara, CA) for C•••••• W•••••• L•• on the same dayNov 1, 2022 · Team lift-out · derived
- C•••••• W•••••• L•• filed its initial SEC registration (Form ADV)Sep 20, 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
- 805-898-0893reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- channelwealth.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 805-898-0893reportedpublic record, Form ADV, Apr 7, 2026
- Contact form
- channelwealth.com/contactreportedpublished 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
- $94.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026