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

S•••••• W••••• M••••••••• L••

Former SEC-registered adviserSan Diego, CaliforniaCRD 333780SEC 801-131914websiteIAPD
Latest filing Aug 28, 2025
First filing on the tape Feb 4, 2025 · 4 filings
SEC status 120-day approval since Feb 3, 2025
RAUM
$68.7M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$68.7M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$34.4M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$68.7M as of Aug 28, 2025
Feb 4, 2025$0 then
HNW client RAUM$52.0M as of Aug 28, 2025
Feb 4, 2025$0 then
State-registered IARs (5.B.3)2 as of Aug 28, 2025
Feb 4, 20252 then
Employees (5.A)2 as of Aug 28, 2025
Feb 4, 20252 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 28, 2025; every figure names its basis
RAUM per advisor
$34.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
41derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.4MderivedHNW RAUM over HNW clients
Average account
$373,370derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 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, hourly, fixed feesreportedItem 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
  • 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$52.0M76%
  • Individuals$16.6M24%
Individual clients
46reported
HNW clients
36reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
184reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
J••••• J• K••••••Certified Financial PlannerSan Diego, Ca Feb 3, 202518 y4
A••• D•••• G•••••••Certified Financial PlannerSan Diego , Ca Feb 3, 202510 y2
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
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      No Schedule A on the extract for this adviser.
      Related persons
      Schedule D 7.A
      No related person reported.
      Office movement
      IAPD branch city; joins and departures in 12 months
      OfficeAdvisorsJoinedLeftTeams outForming
      San Diego, Ca · principal200
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 0 to 184
        Jul 14, 2025 to Aug 28, 2025
      • Advisory activities · 5 to 4
        Jul 14, 2025 to Aug 28, 2025
      • HNW clients · 0 to 36
        Jul 14, 2025 to Aug 28, 2025
      • Individual clients · 0 to 46
        Jul 14, 2025 to Aug 28, 2025
      • Discretionary RAUM · $0 to $68.6M
        Jul 14, 2025 to Aug 28, 2025
      • HNW RAUM · $0 to $52.0M
        Jul 14, 2025 to Aug 28, 2025
      • Individual RAUM · $0 to $16.6M
        Jul 14, 2025 to Aug 28, 2025
      • Non-discretionary RAUM · $0 to $130,000
        Jul 14, 2025 to Aug 28, 2025
      • RAUM · $0 to $68.7M
        Jul 14, 2025 to Aug 28, 2025
      Signals
      2 dated events
      • S•••••• W••••• M••••••••• L•• no longer on the SEC adviser roster (last listed 2025-09-02, RAUM $68.7M)
        Dec 20, 2025 · Left the SEC roster · derived
      • 2 advisors left A•••••• W••••• M••••••••• L•• (San Diego, CA) for S•••••• W••••• M••••••••• L•• within 4 days
        Feb 3, 2025 · Team lift-out · derived
      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
      S••••••WEALTH.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
      $34.4Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 15, 2026