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.
SEC-registered adviser
Ducere Wealth Management
Legal name Ducere Wealth Management, LLC
Latest filing Aug 10, 2026
First filing on the tape Jul 29, 2025 · 6 filings
SEC status approved since Aug 1, 2025
RAUM
$504M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
97%
$491M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$63.0M
derived; firm RAUM over IAPD count
Employees
11
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$504M as of Aug 10, 2026
Jul 29, 2025$0 then
HNW client RAUM$397M as of Aug 10, 2026
Aug 18, 2025$112M then
State-registered IARs (5.B.3)6 as of Aug 10, 2026
Jul 29, 20252 then
Employees (5.A)11 as of Aug 10, 2026
Jul 29, 20252 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 10, 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
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $63.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 16derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $7.6MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 2.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 4.0derived2 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 individuals, selection of other advisersreportedItem 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$397M79%
- Individuals$93.9M19%
- Charitable organizations$12.7M2.5%
- Individual clients
- 76reported
- HNW clients
- 52reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 478reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Zane Confair KellerCertified Financial Planner | Newport Beach, Ca | Jul 22, 2025 | 10 y | 1 |
| Ulrich Emanuel KellerCertified Financial Planner | Newport Beach, Ca | Jul 22, 2025 | 36 y | 2 |
| Cody James Columna | Newport Beach, Ca | Jul 28, 2025 | 11 y | 1 |
| Alexis Renee MirandaCertified Financial Planner | Newport Beach, Ca | Jul 30, 2025 | 11 y | 1 |
| Nicholas BzoviChartered Financial Analyst | Newport Beach, Ca | Sep 5, 2025 | 23 y | 1 |
| Jack Stewart StemperCertified Financial Planner | Newport Beach, Ca | Sep 19, 2025 | 30 y | 1 |
| John Thomas Harrington | Newport Beach, Ca | Apr 1, 2026 | 16 y | 4 |
| Luisa Pamela Cura MendozaCertified Financial Planner | Newport Beach, Ca | Sep 11, 2026 | 10 y | 0 |
Advisor movement
0 left, 2 joined in 12 months
net +2 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
- John Thomas Harrington from Fairbanks Capital Management, Inc.Apr 1, 2026 · RIA to RIA
- Jack Stewart Stemper from First Foundation AdvisorsSep 19, 2025 · RIA to RIA
- Nicholas Bzovi from Morgan StanleySep 5, 2025 · Wirehouse to independent RIA
- Alexis Renee Miranda from The Investment Counsel CompanyJul 30, 2025 · RIA to a newly registered adviser
- Cody James Columna from First Foundation AdvisorsJul 28, 2025 · RIA to a newly registered adviser
- Zane Confair Keller from First Foundation AdvisorsJul 22, 2025 · RIA to a newly registered adviser
- Ulrich Emanuel Keller from First Foundation Advisors, LLCJul 22, 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 |
|---|---|---|---|---|---|
| Newport Beach, Ca · principal | 8 | 3 | 0 | ||
| Las Vegas, Nv | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 84 to 478Oct 13, 2025 to Feb 19, 2026
- HNW clients · 40 to 52Oct 13, 2025 to Feb 19, 2026
- Individual clients · 34 to 76Oct 13, 2025 to Feb 19, 2026
- Employees · 9 to 11Oct 13, 2025 to Feb 19, 2026
- Financial planning clients · 0 to 101-250Oct 13, 2025 to Feb 19, 2026
- State-registered IARs · 4 to 6Oct 13, 2025 to Feb 19, 2026
- Discretionary RAUM · $330M to $496MOct 13, 2025 to Feb 19, 2026
- HNW RAUM · $283M to $397MOct 13, 2025 to Feb 19, 2026
- Individual RAUM · $46.8M to $93.9MOct 13, 2025 to Feb 19, 2026
- Non-discretionary RAUM · $0 to $8.2MOct 13, 2025 to Feb 19, 2026
- RAUM · $330M to $504MOct 13, 2025 to Feb 19, 2026
- Advisory employees · 4 to 6Aug 18, 2025 to Oct 13, 2025
- HNW clients · 16 to 40Aug 18, 2025 to Oct 13, 2025
- Individual clients · 10 to 34Aug 18, 2025 to Oct 13, 2025
- Employees · 7 to 9Aug 18, 2025 to Oct 13, 2025
- Financial planning clients · 0 to 0Aug 18, 2025 to Oct 13, 2025
- Other offices · 0 to 1Aug 18, 2025 to Oct 13, 2025
- Discretionary RAUM · $127M to $330MAug 18, 2025 to Oct 13, 2025
- HNW RAUM · $112M to $283MAug 18, 2025 to Oct 13, 2025
- Individual RAUM · $15.3M to $46.8MAug 18, 2025 to Oct 13, 2025
- RAUM · $127M to $330MAug 18, 2025 to Oct 13, 2025
- Accounts · 0 to 84Jul 29, 2025 to Aug 18, 2025
- Advisory employees · 2 to 4Jul 29, 2025 to Aug 18, 2025
- Advisory activities · 2 to 3Jul 29, 2025 to Aug 18, 2025
- HNW clients · unset to 16.0Jul 29, 2025 to Aug 18, 2025
- Individual clients · unset to 10.0Jul 29, 2025 to Aug 18, 2025
- Employees · 2 to 7Jul 29, 2025 to Aug 18, 2025
- State-registered IARs · 2 to 4Jul 29, 2025 to Aug 18, 2025
- Discretionary RAUM · $0 to $127MJul 29, 2025 to Aug 18, 2025
- HNW RAUM · unset to 111851895.0Jul 29, 2025 to Aug 18, 2025
- Individual RAUM · unset to 15260942.0Jul 29, 2025 to Aug 18, 2025
- RAUM · $0 to $127MJul 29, 2025 to Aug 18, 2025
Signals
2 dated events
- Ducere Wealth Management reported RAUM $503.8M, up 53% from $329.8M (2025-10-13 to 2026-02-19)Feb 19, 2026 · RAUM change · derived
- Ducere Wealth Management reported RAUM $329.8M, up 159% from $127.1M (2025-08-18 to 2025-10-13)Oct 13, 2025 · RAUM change · 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
- Business phone
- 702-710-1757reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 949-418-7118reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/ducere-wealthreportedpublic record, Form ADV, Sep 17, 2026
- Website
- ducerewealth.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 714-393-0959reportedpublic record, Form ADV, Aug 10, 2026
- Team page
- ducerewealth.com/teamreportedpublished by the firm, firm site, Sep 15, 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
- $63.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026