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.
Former SEC-registered adviser
Western International Securities
Legal name Western International Securities, Inc.
Latest filing Jun 16, 2025
First filing on the tape Jan 13, 2012 · 61 filings
SEC status approved since Mar 31, 2008
RAUM
$3.5B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
94%
$3.3B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
407
200 advisory (5.B.1)
Offices
76
beyond the principal office
Private funds
0
reported on Schedule D
History
61 filings and snapshots on the tape
RAUM$3.5B as of Jun 16, 2025
Jan 13, 2012$550M then
HNW client RAUM$1.7B as of Jun 16, 2025
Mar 30, 2020$676M then
State-registered IARs (5.B.3)200 as of Jun 16, 2025
Jan 13, 20120 then
Employees (5.A)407 as of Jun 16, 2025
Mar 8, 201330 then
Private funds: no history
RAUM -4.7% over the last fiscal year-3.9% a year over threeIARs 245 to 200offices 87 to 76
Practice profile
derived from the filing of Jun 16, 2025; every figure names its basis
- RAUM per advisor
- $17.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 34derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $322,135derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.6derived77 offices incl. principal (1.F.5)
- RAUM growth, one year
- -4.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- -18%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -11%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- $228MreportedItem 5.I
- Custody
- $804M, 1,599 clientsreportedItem 9.A
- 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
- is a broker-dealer (6.A.1)
- is an insurance broker or agent (6.A.6)
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.7B49%
- Individuals$1.6B45%
- Corporations and businesses$112M3.2%
- Pension and profit-sharing plans$65.2M1.9%
- Charitable organizations$41.9M1.2%
- Individual clients
- 6,054reported
- HNW clients
- 702reported
- Pension plan clients
- 88reported
- Charitable clients
- 5reported
- Accounts
- 10,904reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $804M for 1,599 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
1 left, 0 joined in 12 months
net -1 in 12 months0 left in 90 days0 joined in 90 days63 left over 36 months
Left, latest
- Karen Tran Chung to Morgan StanleyOct 3, 2025 · Affiliated broker-dealer or bank to wirehouse
- Rodney J Viloria to Cetera Investment Advisers LLCAug 1, 2025 · Affiliated broker-dealer or bank to another
- Ivan Parry to RBC Securities, Inc.Aug 1, 2025 · Affiliated broker-dealer or bank to independent RIA
- David Gary Simon to Hg Wealth Partners LLCAug 1, 2025 · Affiliated broker-dealer or bank to a state-registered adviser
- Albert Vincent Pette to Brixton Capital Wealth Advisors, LLCAug 1, 2025 · Affiliated broker-dealer or bank to independent RIA
- Andrew C. Kuo to LPL Financial LLCJul 21, 2025 · Affiliated broker-dealer or bank to another
- Parviz Paul Pourfarid to Ip Financial Advisory Services LLCJul 9, 2025 · Affiliated broker-dealer or bank to independent RIA
- Gregory Paul Holmes to Cooper McmanusJun 23, 2025 · Affiliated broker-dealer or bank to independent RIA
- Cecilia Maria Tenner to Brink Financial Group, Inc.Jun 13, 2025 · Affiliated broker-dealer or bank to a state-registered adviser
- Matthew Lincoln Mogush to SeiaJun 12, 2025 · Affiliated broker-dealer or bank to another
- Fariba Z. Madison to Vanderbilt Advisory ServicesJun 6, 2025 · Affiliated broker-dealer or bank to another
- John Felix Bodovitz to Guardian Financial Partners, LLCJun 5, 2025 · Affiliated broker-dealer or bank to independent RIA
- Ute Scott-Smith to The Social Equity Group, Inc.Jun 5, 2025 · Other
- Avraham Isaac Ziv to Dorado Wealth Management LLCJun 5, 2025 · Affiliated broker-dealer or bank to independent RIA
- Jeffrey Dwight Brandeen to Fiduciary Architects LLCJun 5, 2025 · Affiliated broker-dealer or bank to a state-registered adviser
Joined, latest
- Megan Polizzi from Independent Financial Group, LLCMay 1, 2025 · Other
- Josiah David Ball from Cambridge Investment Research Advisors, Inc.Nov 30, 2022 · Affiliated broker-dealer or bank to another
- Steve Cheol Kim from UBS Financial Services Inc.Nov 28, 2022 · Wirehouse to affiliated broker-dealer or bank
- Richard Allen Hugh from Merrill Lynch, Pierce, Fenner & Smith IncorporatedAug 3, 2022 · Wirehouse to affiliated broker-dealer or bank
- Maureen Ming-Yuan Tsu from Npb Financial Group, LLCJun 24, 2022 · RIA to affiliated broker-dealer or bank
- Charles Brian Conners from Npb Financial Group, LLCJun 24, 2022 · RIA to affiliated broker-dealer or bank
- Andrew David Tsu from Npb Financial Group, LLCJun 24, 2022 · RIA to affiliated broker-dealer or bank
- Carolyn Rebecca Wyatt from M Stevens Wealth Advisors, LLCJun 21, 2022 · Other
- Ivan Parry from Npb Financial Group, LLCFeb 23, 2022 · RIA to affiliated broker-dealer or bank
- Shaun Michael Beyrer from J.P. Morgan Securities LLCFeb 7, 2022 · Wirehouse to affiliated broker-dealer or bank
- Scott David Litner from Merrill Lynch, Pierce, Fenner & Smith IncorporatedOct 21, 2021 · Wirehouse to affiliated broker-dealer or bank
- Jose Orlando Castillo from J.P. Morgan Securities LLCSep 10, 2021 · Wirehouse to affiliated broker-dealer or bank
- Michael John Hall from Holden Hall Wealth ManagementAug 3, 2021 · Other
- Ernest Bernard Arnold from Rjj Pasadena Securities, Inc.Jul 2, 2021 · RIA to affiliated broker-dealer or bank
- Juan Carlos Vazquez from J.P. Morgan Securities LLCMay 13, 2021 · Wirehouse to affiliated broker-dealer or bank
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for The Social Equity Group, Inc.Jun 5, 2025 · Campbell, Ca
- 3 left for Ignite Planners LLCFeb 7, 2025 · Irvine, Ca
- 2 left for Carnegie Wealth Management LLCJan 4, 2024 · Pasadena, Ca
- 2 left for Fort Sheridan Advisors LLCAug 18, 2023 · Pasadena, Ca
- 2 left for DynamicJun 1, 2023 · Pasadena, Ca
- 2 left for Core Wealth Partners LLCDec 31, 2022 · Pasadena, Ca
- 2 left for Commonwealth Financial NetworkJun 24, 2019 · Omaha, Ne
- 2 left for Bcs Private Wealth ManagementSep 2, 2015 · Atlantic Highlands, Nj
- 3 joined from Npb Financial Group, LLCJun 27, 2022 · Irvine, Ca
- 2 joined from Rjj Pasadena Securities, Inc.Dec 11, 2020 · Henderson, Nv
- 2 joined from Wells Fargo AdvisorsJul 6, 2020 · Newport Beach, Ca
- 2 joined from J.P. Morgan Securities LLCNov 14, 2019 · Encino, Ca
- 2 joined from Morgan StanleyJun 10, 2019 · Los Angeles, Ca
- 2 joined from D.A. Davidson & Co.Jan 14, 2019 · Pasadena, Ca
- 5 joined from Northeast Asset Management LLCDec 11, 2018 · Miami, Fl · Firm absorbed
- 3 joined from Citigroup Global Markets Inc.May 2, 2018 · Ft Lauderdale, Fl
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- William Paul Morrissey · Presidentcontrolsince 05/2023 · owns less than 5%
- Mary Kathryn Simonson · Chief Compliance Officersince 03/2024 · owns less than 5%
- Trisha Lynn Tymkiw · Finopsince 05/2023 · owns less than 5%
- Laura Nicole White · Advisory Chief Compliance Officersince 11/2023 · owns less than 5%
Entity owners
- Concept Brokerage Holding Corporation · Holding Companydirect · owns 75% or more
- Atria Wealth Solutions Inc. · Shareholderindirect · owns 75% or more of Aws 7, Inc.
- Aws 7, Inc. · Shareholderindirect · owns 75% or more of Concept Brokerage Holding Corporation
- LPL Financial Holdings, Inc. · Parent Companyindirect · owns 75% or more of LPL Holdings, Inc. · public reporting company
- LPL Holdings, Inc. · Sharegolderindirect · owns 75% or more of Atria Wealth Solutions, Inc.
Related persons
Schedule D 7.A
- Cadaret Grant & Co Incbroker-dealerinvestment adviserreal estatenRAUM $7.7B
- Cfs Insurance And Technology Services, LLCreal estaten
- Cuso Financial Services, L.P.broker-dealerinvestment adviserreal estatenRAUM $5.4B
- Fiduciary Trust Company Of New Hampshiren
- Grove Point Advisors, LLCinvestment advisernRAUM $2.5B
- H. Beck, Inc.broker-dealerreal estatenRAUM $2.0B
- LPL Enterprise, LLCbroker-dealerinvestment adviserreal estatenRAUM $25B
- LPL Financial LLCbroker-dealerinvestment adviserreal estatenRAUM $819B
- LPL Insurance Associates, Inc.real estaten
- Next Financial Group, Inc.broker-dealerinvestment adviserreal estatenRAUM $3.8B
- Next Financial Insurance Services Companyreal estaten
- Scf Investment Advisors, Inc.investment advisernRAUM $1.3B
- Scf Securities, Inc.broker-dealerreal estaten
- Sorrento Pacific Financial, LLCbroker-dealerinvestment adviserreal estatenRAUM $222M
- The Private Trust Company, N.A.n
Advisers that list Western International Securities as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Boyne Falls, Mi | 0 | 0 | 0 | ||
| Campbell, Ca | 0 | 0 | 0 | ||
| Crystal Bay, Nv | 0 | 0 | 0 | ||
| Encino, Ca | 0 | 0 | 0 | ||
| Estero, Fl | 0 | 0 | 0 | ||
| Evans City, Pa | 0 | 0 | 0 | ||
| Highland Park, Il | 0 | 0 | 0 | ||
| Highland Village, Tx | 0 | 0 | 0 | ||
| Irvine, Ca | 0 | 0 | 0 | ||
| Los Alamitos, Ca | 0 | 0 | 0 | ||
| Massapequa, Ny | 0 | 0 | 0 | ||
| Newport Beach, Ca | 0 | 0 | 0 | ||
| Novato, Ca | 0 | 0 | 0 | ||
| Pasadena, Ca · principal | 0 | 0 | 1 | ||
| Ridgefield, Wa | 0 | 0 | 0 | ||
| Santa Monica, Ca | 0 | 0 | 0 | ||
| Santa Rosa, Ca | 0 | 0 | 0 | ||
| Sebastopol, Ca | 0 | 0 | 0 | ||
| Temecula, Ca | 0 | 0 | 0 | ||
| Truckee, Ca | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Crystal Bay, NV30 employees
- Northridge, CA20 employees
- Mitchel Field, NY16 employees
- Newport Beach, CA15 employees
- Campbell, CA13 employees
- Woodland Hills, CA8 employees
- , 7 employees
- Irvine, CA7 employees
- Glendora, CA5 employees
- Omaha, NE5 employees
- Northridge, CA4 employees
- Grand Junction, CO4 employees
- Traverse City, MI4 employees
- Irvine, CA3 employees
- Los Angeles, CA3 employees
- Novato, CA3 employees
- Highland Park, IL2 employees
- Westlake Village, CA2 employees
- Roseville, CA2 employees
- Glendale, CA2 employees
- Santa Rosa, CA2 employees
- El Segundo, CA2 employees
- Lincoln, NE2 employees
- Baker City, OR2 employees
- Missoula, MT2 employees
What changed
consecutive filings, newest first
- Financial planning clients · 101-250 to 101-250Mar 28, 2025 to Jun 16, 2025
- Accounts · 12,197 to 10,904Jan 3, 2025 to Mar 28, 2025
- Advisory employees · 245 to 200Jan 3, 2025 to Mar 28, 2025
- Advisory activities · 6 to 5Jan 3, 2025 to Mar 28, 2025
- BD registered reps · 323 to 285Jan 3, 2025 to Mar 28, 2025
- Charity clients · 9 to 5Jan 3, 2025 to Mar 28, 2025
- Corporate clients · 78 to 79Jan 3, 2025 to Mar 28, 2025
- HNW clients · 699 to 702Jan 3, 2025 to Mar 28, 2025
- Individual clients · 6,855 to 6,054Jan 3, 2025 to Mar 28, 2025
- Pension plan clients · 128 to 88Jan 3, 2025 to Mar 28, 2025
- Assets in custody · $951M to $804MJan 3, 2025 to Mar 28, 2025
- Employees · 461 to 407Jan 3, 2025 to Mar 28, 2025
- Financial planning clients · 26-50 to 101-250Jan 3, 2025 to Mar 28, 2025
- State-registered IARs · 245 to 200Jan 3, 2025 to Mar 28, 2025
- Other offices · 87 to 76Jan 3, 2025 to Mar 28, 2025
- Discretionary RAUM · $3.7B to $3.5BJan 3, 2025 to Mar 28, 2025
- HNW RAUM · $1.8B to $1.7BJan 3, 2025 to Mar 28, 2025
- Individual RAUM · $1.7B to $1.6BJan 3, 2025 to Mar 28, 2025
- Non-discretionary RAUM · $7.7M to $8.3MJan 3, 2025 to Mar 28, 2025
- Pension RAUM · $87.7M to $65.2MJan 3, 2025 to Mar 28, 2025
- RAUM · $3.7B to $3.5BJan 3, 2025 to Mar 28, 2025
- Accounts · 12,253 to 12,197Nov 17, 2023 to Mar 28, 2024
- Advisory employees · 301 to 245Nov 17, 2023 to Mar 28, 2024
- Advisory activities · 4 to 6Nov 17, 2023 to Mar 28, 2024
- BD registered reps · 343 to 323Nov 17, 2023 to Mar 28, 2024
- Charity clients · 28 to 9Nov 17, 2023 to Mar 28, 2024
- Corporate clients · 155 to 78Nov 17, 2023 to Mar 28, 2024
- HNW clients · 561 to 699Nov 17, 2023 to Mar 28, 2024
- Individual clients · 11,399 to 6,855Nov 17, 2023 to Mar 28, 2024
- Pension plan clients · 110 to 128Nov 17, 2023 to Mar 28, 2024
- Pooled vehicle clients · unset to 0.0Nov 17, 2023 to Mar 28, 2024
- Assets in custody · $831M to $951MNov 17, 2023 to Mar 28, 2024
- Employees · 424 to 461Nov 17, 2023 to Mar 28, 2024
- Insurance-licensed employees · 40 to 11Nov 17, 2023 to Mar 28, 2024
- Financial planning clients · 51-100 to 26-50Nov 17, 2023 to Mar 28, 2024
- State-registered IARs · 301 to 245Nov 17, 2023 to Mar 28, 2024
- Other offices · 119 to 87Nov 17, 2023 to Mar 28, 2024
- Discretionary RAUM · $3.5B to $3.7BNov 17, 2023 to Mar 28, 2024
- HNW RAUM · $1.4B to $1.8BNov 17, 2023 to Mar 28, 2024
- Individual RAUM · $2.0B to $1.7BNov 17, 2023 to Mar 28, 2024
Signals
60 dated events
- Western International Securities no longer on the SEC adviser roster (last listed 2025-09-02, RAUM $3.5B)Dec 20, 2025 · Left the SEC roster · derived
- Karen Tran Chung left Western International Securities for Morgan Stanley (registered 2025-10-14)Oct 3, 2025 · Advisor changed firm · fact
- Rodney J Viloria left Western International Securities for Cetera Investment Advisers Llc (registered 2025-08-29)Aug 1, 2025 · Advisor changed firm · fact
- Albert Vincent Pette left Western International Securities for Brixton Capital Wealth Advisors, Llc (registered 2025-08-21)Aug 1, 2025 · Advisor changed firm · fact
- Ivan Parry left Western International Securities for Rbc Securities, Inc. (registered 2025-09-12)Aug 1, 2025 · Advisor changed firm · fact
- David Gary Simon left Western International Securities for Hg Wealth Partners Llc (registered 2025-08-27)Aug 1, 2025 · Advisor changed firm · fact
- Andrew C. Kuo left Western International Securities for Lpl Financial Llc (registered 2025-07-18)Jul 21, 2025 · Advisor changed firm · fact
- Parviz Paul Pourfarid left Western International Securities for Ip Financial Advisory Services Llc (registered 2025-08-21)Jul 9, 2025 · Advisor changed firm · fact
- Gregory Paul Holmes left Western International Securities for Cooper Mcmanus (registered 2025-07-22)Jun 23, 2025 · Advisor changed firm · fact
- Cecilia Maria Tenner left Western International Securities for Brink Financial Group, Inc. (registered 2025-06-09)Jun 13, 2025 · Advisor changed firm · fact
- Matthew Lincoln Mogush left Western International Securities for Seia (registered 2025-07-03)Jun 12, 2025 · Advisor changed firm · fact
- William Charles Hoeffer no longer registered at Western International Securities; no later IA registration on IAPDJun 10, 2025 · Advisor departure · fact
- Fariba Z. Madison left Western International Securities for Vanderbilt Advisory Services (registered 2025-06-06)Jun 6, 2025 · Advisor changed firm · fact
- John Paul Christian Dunnbier left Western International Securities for The Social Equity Group, Inc. (registered 2022-11-21)Jun 5, 2025 · Advisor changed firm · fact
- John Felix Bodovitz left Western International Securities for Guardian Financial Partners, Llc (registered 2026-01-01)Jun 5, 2025 · Advisor changed firm · fact
- Jeffrey Dwight Brandeen left Western International Securities for Fiduciary Architects Llc (registered 2025-06-11)Jun 5, 2025 · Advisor changed firm · fact
- Ute Scott-Smith left Western International Securities for The Social Equity Group, Inc. (registered 2023-07-18)Jun 5, 2025 · Advisor changed firm · fact
- Avraham Isaac Ziv left Western International Securities for Dorado Wealth Management Llc (registered 2021-07-23)Jun 5, 2025 · Advisor changed firm · fact
- 2 advisors left Western International Securities (Campbell, CA) for The Social Equity Group, Inc. on the same dayJun 5, 2025 · Team lift-out · derived
- Mark Curtis Walter left Western International Securities for Ip Financial Advisory Services Llc (registered 2025-06-02)Jun 3, 2025 · Advisor changed firm · fact
- Helen Hsi-Shan Lin left Western International Securities for Southern California Wealth Management Associates (registered 2025-07-08)May 30, 2025 · Advisor changed firm · fact
- Hiroshi Mizutani left Western International Securities for International Assets Investment Management, Llc (registered 2025-05-23)May 27, 2025 · Advisor changed firm · fact
- Yvette Sanchez Amaro left Western International Securities for Zero Day Capital Enterprises Llc (registered 2026-01-05)May 27, 2025 · Advisor changed firm · fact
- Roy Edward Bennett no longer registered at Western International Securities; no later IA registration on IAPDMay 27, 2025 · Advisor departure · fact
- David Wayne Karin left Western International Securities for Innovation Partners Llc (registered 2025-05-16)May 14, 2025 · Advisor changed firm · fact
- Wael S Zorob left Western International Securities for U.S. Bancorp Advisors, Llc (registered 2025-05-09)May 9, 2025 · Advisor changed firm · fact
- Hsien Lin left Western International Securities for Kovack Advisors, Inc. (registered 2025-05-08)May 8, 2025 · Advisor changed firm · fact
- Sandi Y. Chui left Western International Securities for Kovack Advisors, Inc. (registered 2025-05-08)May 8, 2025 · Advisor changed firm · fact
- Patrick Michael Egan left Western International Securities for Coordinated Wealth Management, Llc (registered 2015-05-28)Apr 30, 2025 · Advisor changed firm · fact
- David Lawrence Meucci left Western International Securities for The Social Equity Group, Inc. (registered 2023-03-03)Apr 25, 2025 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
- Western International Securities · Private Equityshared crd · intermediary
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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026