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.
SEC-registered adviser
Williams & Novak Wealth Management, LLC
Latest filing Sep 16, 2026
First filing on the tape Jun 2, 2023 · 20 filings
SEC status approved since Jul 6, 2023
RAUM
$343M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$334M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$68.6M
derived; firm RAUM over IAPD count
Employees
10
4 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$343M as of Aug 18, 2026
Feb 29, 2024$238M then
HNW client RAUM$298M as of Aug 18, 2026
Feb 29, 2024$204M then
State-registered IARs (5.B.3)4 as of Aug 18, 2026
Feb 29, 20243 then
Employees (5.A)8 as of Aug 18, 2026
Feb 29, 20243 then
Private funds: no history
RAUM +30% over the last fiscal yearIARs 3 to 4offices 4 to 5
Practice profile
derived from the filing of Sep 16, 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
- $68.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 55derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $330,930derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 0.8derived6 offices incl. principal (1.F.5)
- RAUM growth, one year
- +30%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +12%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, publications, educational seminarsreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$298M87%
- Individuals$36.1M11%
- Pension and profit-sharing plans$7.8M2.3%
- Charitable organizations$878,6510.3%
- Corporations and businesses$14,4570.0%
- Individual clients
- 168reported
- HNW clients
- 107reported
- Pension plan clients
- 10reported
- Charitable clients
- n/areported
- Accounts
- 1,036reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=true related_bank=false bd_reps=2.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Michael K De Luz | Parker Dam, Ca | Aug 8, 2023 | 31 y | 7 |
| Daniel NovakCertified Financial Planner | Westlake Village, Ca | Oct 11, 2023 | 11 y | 6 |
| Jacob Williams | Homer, Ak | Oct 12, 2023 | 25 y | 4 |
| Tanya Michelle Escobedo | San Tan Valley, Az | Mar 3, 2026 | 31 y | 5 |
| Jacob Samuel Denzler | Westlake Village, Ca | Sep 3, 2026 | 11 y | 0 |
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
- Tanya Michelle Escobedo from DynamicMar 3, 2026 · RIA to RIA
- Jacob Williams from DynamicOct 12, 2023 · RIA to RIA
- Daniel Novak from DynamicOct 11, 2023 · RIA to RIA
- Michael K De Luz from Kovack Advisors, Inc.Aug 8, 2023 · Affiliated broker-dealer or bank to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K Michael De Luz · Ccocontrolsince 06/2023 · owns less than 5%
- Christopher Daniel Novak · Managing Membercontrolsince 04/2019 · owns 25% to 50%
- Jacob Williams · Managing Membercontrolsince 04/2019 · owns 75% or more
Related persons
Schedule D 7.A
- Hb Securities, LLCbroker-dealery
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Westlake Village, Ca · principal | 5 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Newport Beach, CA1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Employees · 8 to 10Aug 18, 2026 to Sep 16, 2026
- Financial planning clients · 0 to 0Aug 18, 2026 to Sep 16, 2026
- Other offices · 4 to 5Aug 18, 2026 to Sep 16, 2026
- Succession · false to unsetAug 18, 2026 to Sep 16, 2026
- Accounts · 831 to 1,036Sep 22, 2025 to Mar 31, 2026
- Advisory employees · 3 to 4Sep 22, 2025 to Mar 31, 2026
- BD registered reps · 1 to 2Sep 22, 2025 to Mar 31, 2026
- HNW clients · 91 to 107Sep 22, 2025 to Mar 31, 2026
- Individual clients · 155 to 168Sep 22, 2025 to Mar 31, 2026
- Pension plan clients · 11 to 10Sep 22, 2025 to Mar 31, 2026
- Employees · 3 to 8Sep 22, 2025 to Mar 31, 2026
- State-registered IARs · 3 to 4Sep 22, 2025 to Mar 31, 2026
- Discretionary RAUM · $264M to $343MSep 22, 2025 to Mar 31, 2026
- HNW RAUM · $224M to $298MSep 22, 2025 to Mar 31, 2026
- Individual RAUM · $32.3M to $36.1MSep 22, 2025 to Mar 31, 2026
- Pension RAUM · $6.3M to $7.8MSep 22, 2025 to Mar 31, 2026
- RAUM · $264M to $343MSep 22, 2025 to Mar 31, 2026
- Financial planning clients · 0 to 0Jun 17, 2025 to Sep 22, 2025
- Accounts · 703 to 831Oct 25, 2024 to Mar 7, 2025
- BD registered reps · 2 to 1Oct 25, 2024 to Mar 7, 2025
- HNW clients · 81 to 91Oct 25, 2024 to Mar 7, 2025
- Individual clients · 129 to 155Oct 25, 2024 to Mar 7, 2025
- Pension plan clients · 5 to 11Oct 25, 2024 to Mar 7, 2025
- Discretionary RAUM · $238M to $264MOct 25, 2024 to Mar 7, 2025
- HNW RAUM · $204M to $224MOct 25, 2024 to Mar 7, 2025
- Individual RAUM · $29.7M to $32.3MOct 25, 2024 to Mar 7, 2025
- Pension RAUM · $3.3M to $6.3MOct 25, 2024 to Mar 7, 2025
- RAUM · $238M to $264MOct 25, 2024 to Mar 7, 2025
- BD registered reps · 1 to 2Oct 9, 2024 to Oct 25, 2024
- Advisory employees · 4 to 3Jul 19, 2024 to Oct 9, 2024
- Employees · 4 to 3Jul 19, 2024 to Oct 9, 2024
- State-registered IARs · 4 to 3Jul 19, 2024 to Oct 9, 2024
- Other offices · 5 to 4Jul 19, 2024 to Oct 9, 2024
- Advisory employees · 3 to 4Feb 29, 2024 to Jul 19, 2024
- Employees · 3 to 4Feb 29, 2024 to Jul 19, 2024
- State-registered IARs · 3 to 4Feb 29, 2024 to Jul 19, 2024
- Other offices · 4 to 5Feb 29, 2024 to Jul 19, 2024
- Accounts · 635 to 703Nov 21, 2023 to Feb 29, 2024
- Charity clients · 1.0 to unsetNov 21, 2023 to Feb 29, 2024
- HNW clients · 63 to 81Nov 21, 2023 to Feb 29, 2024
Signals
3 dated events
- Michael K De Luz added a TX registration at Williams & Novak Wealth Management, LlcSep 14, 2026 · New state registration · fact
- 2 advisors left Dynamic (Phoenix, AZ) for Williams & Novak Wealth Management, LLC on the same dayNov 28, 2023 · Team lift-out · derived
- Williams & Novack Wealth Management, Llc filed its initial SEC registration (Form ADV)Jun 2, 2023 · 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
- 213-300-1779reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 626-514-2129reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 626-689-7181reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/williams-novak-wealth-management-llcreportedpublic record, Form ADV, Sep 17, 2026
- Website
- williamsnovakwm.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 626-689-7181reportedpublic record, Form ADV, Sep 16, 2026
- Contact form
- williamsnovakwm.com/contactreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- williamsnovakwm.com/who-we-arereportedpublished 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
- $68.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026