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
R••••• W••••• A•••••••
Legal name R••••• W••••• A••••••• I•••
Latest filing Sep 9, 2026
First filing on the tape Apr 28, 2026 · 4 filings
SEC status 120-day approval since Apr 29, 2026
RAUM
$235M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$235M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$118M
derived; firm RAUM over IAPD count
Employees
3
1 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$0 as of Jul 24, 2026
Apr 28, 2026$0 then
HNW client RAUM$0 as of Jul 24, 2026
Apr 28, 2026$0 then
State-registered IARs (5.B.3)1 as of Jul 24, 2026
Apr 28, 20261 then
Employees (5.A)3 as of Jul 24, 2026
Apr 28, 20263 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Sep 9, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $118MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 131derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $444,077derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 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, fixed feesreportedItem 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
- 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$167M71%
- Individuals$68.2M29%
- Individual clients
- 172reported
- HNW clients
- 90reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 530reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C••• E••••• V••••••Certified Financial Planner | Santa Barbara , Ca | Sep 8, 2026 | 10 y | 3 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- C••• E••••• V•••••• from S•••••••• A••••••• L••Sep 8, 2026 · 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
- S•••• H••••••• A•• · Ccocontrolsince 03/2026 · owns less than 5%
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 Luis Obispo, Ca · principal | 2 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 0 to 530Jul 24, 2026 to Sep 9, 2026
- HNW clients · 0 to 90Jul 24, 2026 to Sep 9, 2026
- Individual clients · 0 to 172Jul 24, 2026 to Sep 9, 2026
- Financial planning clients · 0 to 0Jul 24, 2026 to Sep 9, 2026
- Discretionary RAUM · $0 to $235MJul 24, 2026 to Sep 9, 2026
- HNW RAUM · $0 to $167MJul 24, 2026 to Sep 9, 2026
- Individual RAUM · $0 to $68.2MJul 24, 2026 to Sep 9, 2026
- RAUM · $0 to $235MJul 24, 2026 to Sep 9, 2026
- Related adviser · false to unsetJul 24, 2026 to Sep 9, 2026
- Related bank · false to unsetJul 24, 2026 to Sep 9, 2026
- Related broker-dealer · false to unsetJul 24, 2026 to Sep 9, 2026
- Related insurance company · false to unsetJul 24, 2026 to Sep 9, 2026
- Succession · false to unsetJul 24, 2026 to Sep 9, 2026
Signals
No event on the tape.
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
- r••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- (949) 340-1701reportedpublic record, Form ADV, Sep 9, 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
- $118Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026