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•••••••••
Legal name A••••• O•••• P••
Latest filing Aug 5, 2026
First filing on the tape Jan 7, 2026 · 3 filings
SEC status approved since Feb 6, 2026
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
5 advisory (5.B.1)
Offices
9
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$0 as of Aug 5, 2026
Jan 7, 2026$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)5 as of Aug 5, 2026
Jan 7, 20266 then
Employees (5.A)6 as of Aug 5, 2026
Jan 7, 20266 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 5, 2026; every figure names its basis
- RAUM per advisor
- $0derivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 0.5derived10 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
- hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planningreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 0reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixed, hourlyreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S••••• C•••••• F••Certified Financial Planner | San Diego, Ca | Feb 3, 2025 | 10 y | 1 |
| M•••••• T••• A•••••••Certified Financial Planner | Murrieta, Ca | Feb 21, 2025 | 11 y | 4 |
| M•••••• W• H•••Certified Financial Planner | New Jersey, Nj | Mar 10, 2025 | 12 y | 1 |
| A••••• K•••••••• E••••••Certified Financial Planner | San Diego, Ca | Mar 28, 2025 | 13 y | 1 |
| L••• R••••••• | San Diego, Ca | Feb 27, 2026 | 13 y | 0 |
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 20% of current headcount1 left over 36 months
Left, latest
- J•••• W•••••• L•••• K••••• to O•••• W•••••• I•••Mar 31, 2026 · Other
Joined, latest
- A••••• K•••••••• E•••••• from C••••••••• W•••••Mar 28, 2025 · RIA to a newly registered adviser
- M•••••• W• H••• from B••••••••• C•••••• M••••••••• L••Mar 10, 2025 · RIA to a newly registered adviser
- M•••••• T••• A••••••• from W•••••• W••••• M•••••••••Feb 21, 2025 · Other
- S••••• C•••••• F•• from N••• G•• F•••••••• P•••••••Feb 3, 2025 · Other
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
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| San Diego, Ca · principal | 5 | 1 | 0 | ||
| Corona Del Mar, Ca | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 6 to 5Mar 31, 2026 to Aug 5, 2026
- Business name · A••••• O••• to A•••••••••Mar 31, 2026 to Aug 5, 2026
- State-registered IARs · 6 to 5Mar 31, 2026 to Aug 5, 2026
- Other offices · 5 to 9Mar 31, 2026 to Aug 5, 2026
Signals
1 dated events
- J•••• W•••••• L•••• K••••• left Adviceonly for O•••• W•••••• I••• (registered 2026-06-05)Mar 31, 2026 · Advisor changed firm · 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
- adviceonly.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (619) 374- 2261reportedpublic record, Form ADV, Aug 5, 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
- No RAUM reportedderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026