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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Former SEC-registered adviser
W••••• S••••••••• G••••
Latest filing Sep 9, 2026
First filing on the tape May 30, 2023 · 12 filings
RAUM
$103M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
97%
$99.5M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$51.5M
derived; firm RAUM over IAPD count
Employees
6
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$103M as of Sep 9, 2026
May 30, 2023$0 then
HNW client RAUM$83.4M as of Sep 9, 2026
Mar 31, 2024$11.7M then
State-registered IARs (5.B.3)2 as of Sep 9, 2026
May 30, 20234 then
Employees (5.A)6 as of Sep 9, 2026
May 30, 20234 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Sep 9, 2026; every figure names its basis
- RAUM per advisor
- $51.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 54derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.6MderivedHNW RAUM over HNW clients
- Average account
- $334,183derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
- 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$83.4M81%
- Individuals$16.1M16%
- Corporations and businesses$3.4M3.3%
- Individual clients
- 89reported
- HNW clients
- 18reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 308reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••••• A••••Certified Financial Planner | Newport Beach, Ca | Jan 1, 2026 | 30 y | 2 |
| M••• P•••••• Y••••Certified Financial Planner | Newport Beach, Ca | Jun 22, 2026 | 25 y | 2 |
Advisor movement
0 left, 2 joined in 12 months
net +2 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- M••• P•••••• Y•••• from S••••••••• A•••••• A•••••••• I•••Jun 22, 2026 · Affiliated broker-dealer or bank to independent RIA
- T••••• A•••• from S••••••••• A•••••• A•••••••• I•••Jan 1, 2026 · Affiliated broker-dealer or bank to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from S••••••••• A•••••• A•••••••• I•••Dec 20, 2023 · Newport Beach, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••• T••••• · Ceo/President/Ccocontrolsince 04/2023 · owns 75% or more
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 | 2 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 102 to 308Aug 20, 2024 to Sep 9, 2026
- Advisory activities · 3 to 2Aug 20, 2024 to Sep 9, 2026
- Charity clients · unset to 0.0Aug 20, 2024 to Sep 9, 2026
- Corporate clients · unset to 13.0Aug 20, 2024 to Sep 9, 2026
- HNW clients · 13 to 18Aug 20, 2024 to Sep 9, 2026
- Individual clients · 43 to 89Aug 20, 2024 to Sep 9, 2026
- Pension plan clients · unset to 0.0Aug 20, 2024 to Sep 9, 2026
- Pooled vehicle clients · unset to 0.0Aug 20, 2024 to Sep 9, 2026
- Employees · 4 to 6Aug 20, 2024 to Sep 9, 2026
- Financial planning clients · 11-25 to 0Aug 20, 2024 to Sep 9, 2026
- Legal name · T••••• A•••• INC. to W••••• S••••••••• G••••Aug 20, 2024 to Sep 9, 2026
- Discretionary RAUM · $16.3M to $103MAug 20, 2024 to Sep 9, 2026
- HNW RAUM · $11.7M to $83.4MAug 20, 2024 to Sep 9, 2026
- Individual RAUM · $4.6M to $16.1MAug 20, 2024 to Sep 9, 2026
- Pension RAUM · unset to 0.0Aug 20, 2024 to Sep 9, 2026
- Pooled vehicle RAUM · unset to 0.0Aug 20, 2024 to Sep 9, 2026
- RAUM · $16.3M to $103MAug 20, 2024 to Sep 9, 2026
- Succession · false to unsetAug 20, 2024 to Sep 9, 2026
- Business name · T••••• A•••• I••• D•• W••••• S••••••••• G•••• to W••••• S••••••••• G••••Jun 10, 2024 to Aug 20, 2024
- Business name · W••••• S••••••••• G•••• to T••••• A•••• I••• D•• W••••• S••••••••• G••••Jun 1, 2024 to Jun 10, 2024
- Legal name · T••••• A•••• INC. to T••••• A•••• I••• D•• W••••• S••••••••• G••••Jun 1, 2024 to Jun 10, 2024
- Legal name · T••••• A•••• I••• D•• W••••• S••••••••• G•••• to T••••• A•••• INC.Jun 10, 2024 to Jun 10, 2024
- Legal name · W••••• S••••••••• G•••• to T••••• A•••• INC.May 8, 2024 to Jun 1, 2024
- Advisory activities · 4 to 3Mar 31, 2024 to May 3, 2024
- Wrap assets (manager) · 0.0 to unsetMar 31, 2024 to May 3, 2024
- Wrap assets (sponsor) · 0.0 to unsetMar 31, 2024 to May 3, 2024
- Accounts · 0 to 102Feb 15, 2024 to Mar 31, 2024
- Advisory employees · 4 to 2Feb 15, 2024 to Mar 31, 2024
- HNW clients · unset to 13.0Feb 15, 2024 to Mar 31, 2024
- Individual clients · unset to 43.0Feb 15, 2024 to Mar 31, 2024
- Financial planning clients · 0 to 11-25Feb 15, 2024 to Mar 31, 2024
- State-registered IARs · 4 to 2Feb 15, 2024 to Mar 31, 2024
- Discretionary RAUM · $0 to $16.3MFeb 15, 2024 to Mar 31, 2024
- HNW RAUM · unset to 11719968.0Feb 15, 2024 to Mar 31, 2024
- Individual RAUM · unset to 4565822.0Feb 15, 2024 to Mar 31, 2024
- RAUM · $0 to $16.3MFeb 15, 2024 to Mar 31, 2024
Signals
2 dated events
- 2 advisors left S••••••••• A•••••• A•••••••• I••• (Newport Beach, CA) for W••••• S••••••••• G•••• on the same dayDec 20, 2023 · Team lift-out · derived
- W••••• S••••••••• G•••• filed its initial SEC registration (Form ADV)May 30, 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
- Website
- wealthstrategiesgroup.comreportedpublic record, Form ADV, Sep 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
- Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $51.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026