DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

W••••••••• I•••

Former SEC-registered adviserFormer SEC adviser· Fallbrook, Californiawebsite

Former SEC-registered adviser, based in Fallbrook, California, reporting $112M of regulatory assets across 1 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
$112M
Form ADV
Advisors
1
IAPD
Net advisor flow, 12 months
0 (0 in, 0 out)
IAPD registration history
RAUM change, last fiscal year
Not applicable
Private clients
99% of RAUM, $111M
Form ADV
Advisors (1)Advisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 327527 · SEC 801-137244 · 11 filingsShow
CRD 327527SEC 801-137244First filing on the tape Jun 30, 2023, latest Sep 18, 2026IAPD
RAUM
$112M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
99%
$111M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$112M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$112M as of Sep 18, 2026
Jun 30, 2023$0 then
HNW client RAUM$63.2M as of Sep 18, 2026
Dec 19, 2023$16.6M then
State-registered IARs (5.B.3)1 as of Sep 18, 2026
Jun 30, 20231 then
Employees (5.A)1 as of Sep 18, 2026
Jun 30, 20231 then
Private funds: no history
Practice profile
derived from the filing of Sep 18, 2026; every figure names its basis
RAUM per advisor
$112MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
176derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.7MderivedHNW RAUM over HNW clients
Average account
$629,262derivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 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 assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 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
  • 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$63.2M56%
  • Individuals$47.8M43%
  • Charitable organizations$1.0M0.9%
Individual clients
138reported
HNW clients
38reported
Pension plan clients
0reported
Charitable clients
2reported
Accounts
178reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
S•••• R• W••••Fallbrook, CaAug 7, 202320 y5
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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • W••••• S••••• R• · Owner And Chief Compliance Officercontrol
      since 06/2023 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 197 to 178
      Jan 22, 2024 to Aug 24, 2026
    • Charity clients · 0 to 2
      Jan 22, 2024 to Aug 24, 2026
    • HNW clients · 12 to 38
      Jan 22, 2024 to Aug 24, 2026
    • Individual clients · 70 to 138
      Jan 22, 2024 to Aug 24, 2026
    • HNW RAUM · $21.8M to $63.2M
      Jan 22, 2024 to Aug 24, 2026
    • Individual RAUM · $23.9M to $47.8M
      Jan 22, 2024 to Aug 24, 2026
    • Non-discretionary RAUM · $45.7M to $112M
      Jan 22, 2024 to Aug 24, 2026
    • RAUM · $45.7M to $112M
      Jan 22, 2024 to Aug 24, 2026
    • Related adviser · false to unset
      Jan 22, 2024 to Aug 24, 2026
    • Related bank · false to unset
      Jan 22, 2024 to Aug 24, 2026
    • Related broker-dealer · false to unset
      Jan 22, 2024 to Aug 24, 2026
    • Related insurance company · false to unset
      Jan 22, 2024 to Aug 24, 2026
    • Succession · false to unset
      Jan 22, 2024 to Aug 24, 2026
    • Advisory activities · 1 to 2
      Jan 18, 2024 to Jan 22, 2024
    • Financial planning clients · unset to 26-50
      Jan 18, 2024 to Jan 22, 2024
    • Accounts · 63 to 197
      Dec 19, 2023 to Jan 12, 2024
    • HNW clients · 7 to 12
      Dec 19, 2023 to Jan 12, 2024
    • Individual clients · 56 to 70
      Dec 19, 2023 to Jan 12, 2024
    • HNW RAUM · $16.6M to $21.8M
      Dec 19, 2023 to Jan 12, 2024
    • Individual RAUM · $15.7M to $23.9M
      Dec 19, 2023 to Jan 12, 2024
    • Non-discretionary RAUM · $32.3M to $45.7M
      Dec 19, 2023 to Jan 12, 2024
    • RAUM · $32.3M to $45.7M
      Dec 19, 2023 to Jan 12, 2024
    • Accounts · 0 to 63
      Aug 15, 2023 to Dec 19, 2023
    • Business name · W••••• S•••• to W••••••••• I•••
      Aug 15, 2023 to Dec 19, 2023
    • Charity clients · unset to 0.0
      Aug 15, 2023 to Dec 19, 2023
    • Corporate clients · unset to 0.0
      Aug 15, 2023 to Dec 19, 2023
    • HNW clients · unset to 7.0
      Aug 15, 2023 to Dec 19, 2023
    • Individual clients · unset to 56.0
      Aug 15, 2023 to Dec 19, 2023
    • Pension plan clients · unset to 0.0
      Aug 15, 2023 to Dec 19, 2023
    • Pooled vehicle clients · unset to 0.0
      Aug 15, 2023 to Dec 19, 2023
    • Legal name · W••••• S••••• R•AYGENE to W••••••••• I•••
      Aug 15, 2023 to Dec 19, 2023
    • HNW RAUM · unset to 16590497.0
      Aug 15, 2023 to Dec 19, 2023
    • Individual RAUM · unset to 15744363.0
      Aug 15, 2023 to Dec 19, 2023
    • Non-discretionary RAUM · $0 to $32.3M
      Aug 15, 2023 to Dec 19, 2023
    • Pension RAUM · unset to 0.0
      Aug 15, 2023 to Dec 19, 2023
    • Pooled vehicle RAUM · unset to 0.0
      Aug 15, 2023 to Dec 19, 2023
    • RAUM · $0 to $32.3M
      Aug 15, 2023 to Dec 19, 2023
    • Succession · true to false
      Aug 15, 2023 to Dec 19, 2023
    • HQ city · unset to FALLBROOK
      Jul 20, 2023 to Aug 15, 2023
    • HQ state · unset to CA
      Jul 20, 2023 to Aug 15, 2023
    Signals
    2 dated events
    • ••• Locked
      Aug 15, 2023 · Succession (Item 4) · fact
    • ••• Locked
      Jun 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
    ••• Lockedreportedpublic 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
    $112Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026