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
A••••• B•• P•••••• W••••• L••
Latest filing Mar 23, 2026
First filing on the tape Jul 6, 2023 · 5 filings
SEC status approved since Aug 4, 2023
RAUM
$51.7M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$51.7M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$10.3M
derived; firm RAUM over IAPD count
Employees
7
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$51.7M as of Mar 23, 2026
Mar 21, 2024$0 then
HNW client RAUM$37.2M as of Mar 23, 2026
Mar 21, 2025$17.5M then
State-registered IARs (5.B.3)6 as of Mar 23, 2026
Mar 21, 20243 then
Employees (5.A)7 as of Mar 23, 2026
Mar 21, 20245 then
Private funds: no history
RAUM +85% over the last fiscal yearIARs 5 to 6
Practice profile
derived from the filing of Mar 23, 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
- $10.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 12derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $876,627derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 2.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +85%derivedbetween the last two annual amendments
- Advisor growth, one year
- +20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +18%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 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
- 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$37.2M72%
- Individuals$14.5M28%
- Individual clients
- 40reported
- HNW clients
- 19reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 59reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=4.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
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
- S••••• L••• B•••••••• from P•••• S••••••••• L••Mar 4, 2024 · 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
- A••••• J••••• R••••• · Ceocontrolsince 06/2023 · owns 25% to 50%
- L••••• M••••••• W•••••• · Ccocontrolsince 06/2023 · owns 25% to 50%
- W••••••• T•••••• M•••••• · Ciocontrolsince 06/2023 · owns 25% to 50%
Related persons
Schedule D 7.A
- A••••• B•• C••••••• I•••investment advisernRAUM $247M
- A••••• B•• S••••••••• L••broker-dealern
Advisers that list A••••• B•• P•••••• W••••• L•• as a related person
- 116913 n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Carlsbad, Ca · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Tustin, CA1 employees
What changed
consecutive filings, newest first
- Accounts · 62 to 59Nov 13, 2025 to Mar 23, 2026
- Advisory employees · 5 to 6Nov 13, 2025 to Mar 23, 2026
- Individual clients · 43 to 40Nov 13, 2025 to Mar 23, 2026
- Insurance-licensed employees · 5 to 6Nov 13, 2025 to Mar 23, 2026
- State-registered IARs · 5 to 6Nov 13, 2025 to Mar 23, 2026
- Discretionary RAUM · $51.7M to $51.7MNov 13, 2025 to Mar 23, 2026
- HNW RAUM · $37.3M to $37.2MNov 13, 2025 to Mar 23, 2026
- Individual RAUM · $14.4M to $14.5MNov 13, 2025 to Mar 23, 2026
- RAUM · $51.7M to $51.7MNov 13, 2025 to Mar 23, 2026
- Accounts · 50 to 62Mar 21, 2025 to Nov 13, 2025
- HNW clients · 10 to 19Mar 21, 2025 to Nov 13, 2025
- Individual clients · 40 to 43Mar 21, 2025 to Nov 13, 2025
- Employees · 6 to 7Mar 21, 2025 to Nov 13, 2025
- Discretionary RAUM · $27.9M to $51.7MMar 21, 2025 to Nov 13, 2025
- HNW RAUM · $17.5M to $37.3MMar 21, 2025 to Nov 13, 2025
- Individual RAUM · $10.5M to $14.4MMar 21, 2025 to Nov 13, 2025
- RAUM · $27.9M to $51.7MMar 21, 2025 to Nov 13, 2025
- Accounts · 0 to 50Mar 21, 2024 to Mar 21, 2025
- Advisory employees · 3 to 5Mar 21, 2024 to Mar 21, 2025
- HNW clients · unset to 10.0Mar 21, 2024 to Mar 21, 2025
- Individual clients · unset to 40.0Mar 21, 2024 to Mar 21, 2025
- Employees · 5 to 6Mar 21, 2024 to Mar 21, 2025
- Insurance-licensed employees · 3 to 5Mar 21, 2024 to Mar 21, 2025
- Financial planning clients · 0 to 26-50Mar 21, 2024 to Mar 21, 2025
- State-registered IARs · 3 to 5Mar 21, 2024 to Mar 21, 2025
- Discretionary RAUM · $0 to $27.9MMar 21, 2024 to Mar 21, 2025
- HNW RAUM · unset to 17453000.0Mar 21, 2024 to Mar 21, 2025
- Individual RAUM · unset to 10490000.0Mar 21, 2024 to Mar 21, 2025
- RAUM · $0 to $27.9MMar 21, 2024 to Mar 21, 2025
Signals
1 dated events
- A••••• B•• P•••••• W••••• L•• filed its initial SEC registration (Form ADV)Jul 6, 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
- anchorbayprivatewealth.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 760-602-3470reportedpublic record, Form ADV, Mar 23, 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
- $10.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026