DFX Intelligence

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F••• C•••••• M•••••••••

Independent wealth managerSEC-registered· Newport Beach, California

Independent wealth manager, based in Newport Beach, California, reporting $162M of regulatory assets across 1 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-03-17 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $162M
Advisors: 1
Net advisor flow, 12 months: 0
RAUM change, 1 year: -7.5%
Private clients: 94%

See where advisers went See teams that moved

Advisors (1)Where the RAUM sits

As of 2026-03-17 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 17 Mar 2026, 1 control person joined and 1 left Schedule A in the last 12 months.

Every filed figure, and the identifiersCRD 104986 · SEC 801-34774 · 21 filingsShow

CRD 104986SEC 801-34774First filing on the tape Mar 19, 2012, latest Mar 17, 2026SEC status approved since Aug 10, 1989IAPD

RAUM

$162M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

94%

$153M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$162M

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

21 filings and snapshots on the tape

RAUM +4.6% a year over three years · the tape starts Mar 19, 2012

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$162M as of Mar 17, 2026

Mar 19, 2012$106M then

HNW client RAUM$137M as of Mar 17, 2026

Mar 28, 2018$121M then

State-registered IARs (5.B.3)1 as of Mar 17, 2026

Mar 19, 20120 then

Employees (5.A)1 as of Mar 17, 2026

Apr 4, 20132 then

Private funds: no history

RAUM -7.5% over the last fiscal year+4.6% a year over threeIARs 2 to 1

Practice profile

derived from the filing of Mar 17, 2026; every figure names its basis

Archetypes

The rule behind each archetype, and every derived figure2 rulesShow

HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
Solo or small team · one advisor, or a wealth manager with up to three advisors and one office, and at most 25 employees (Item 5.A)

RAUM per advisor: $162MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 67derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $4.7MderivedHNW RAUM over HNW clients
Average account: $898,935derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 5.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.0derivedItem 5.A over advisors
Advisors per office: 1.0derived1 office incl. principal (1.F.5)
RAUM growth, one year: -7.5%derivedbetween the last two annual amendments
Advisor growth, one year: -50%derivedItem 5.B.3 between annual amendments
Client growth, one year: +8.1%derived
Compensation: percentage of assets, performance-basedreportedItem 5.E
Advisory activities: 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)
a related person has custody of client cash (9.B.1.a)
a related person has custody of client securities (9.B.1.b)

Where the RAUM sits

Form ADV Item 5.D, latest filing

84% high-net-worth individuals, 9.9% individuals, and 1 other client type

The breakdown by client type, and the client counts3 client typesShow

High-net-worth individuals$137M84%
Individuals$16.0M9.9%
Pension and profit-sharing plans$9.2M5.7%

Individual clients: 38reported
HNW clients: 29reported
Pension plan clients: 6reported
Charitable clients: 0reported
Accounts: 180reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, performancereported
Class basis: RAUM: 94% private clients, 0% pooled funds, 6% institutions; no related broker-dealer; no related bankderived

Advisor movement

0 left over 36 months

0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

1 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry	Prior firms
S••••• C•••• P•••Chartered Financial Analyst	Newport Beach, Ca	Jan 1, 2025	28 y	0

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

F•••• R••••••• M••• · Presidentcontrol
since 06/1986 · owns 75% or more
P•••• S•••••• C•••• · Chief Compliance Officercontrol
since 12/2004 · owns less than 5%

Related persons

Schedule D 7.A

R•••••• M• F•••
pooled vehicle sponsory

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 210 to 180
Nov 5, 2025 to Mar 17, 2026
HNW clients · 30 to 29
Nov 5, 2025 to Mar 17, 2026
Individual clients · 32 to 38
Nov 5, 2025 to Mar 17, 2026
Pension plan clients · 10 to 6
Nov 5, 2025 to Mar 17, 2026
Discretionary RAUM · $175M to $162M
Nov 5, 2025 to Mar 17, 2026

Full history · 80 changes

HNW RAUM · $130M to $137M
Nov 5, 2025 to Mar 17, 2026
Individual RAUM · $25.0M to $16.0M
Nov 5, 2025 to Mar 17, 2026
Pension RAUM · $20.0M to $9.2M
Nov 5, 2025 to Mar 17, 2026
RAUM · $175M to $162M
Nov 5, 2025 to Mar 17, 2026
Advisory employees · 2 to 1
Mar 21, 2025 to Nov 5, 2025
Employees · 2 to 1
Mar 21, 2025 to Nov 5, 2025
Financial planning clients · 0 to 0
Mar 21, 2025 to Nov 5, 2025
State-registered IARs · 2 to 1
Mar 21, 2025 to Nov 5, 2025
Accounts · 221 to 210
Mar 26, 2024 to Mar 21, 2025
HNW clients · 25 to 30
Mar 26, 2024 to Mar 21, 2025
Individual clients · 50 to 32
Mar 26, 2024 to Mar 21, 2025
Discretionary RAUM · $164M to $175M
Mar 26, 2024 to Mar 21, 2025
HNW RAUM · $110M to $130M
Mar 26, 2024 to Mar 21, 2025
Individual RAUM · $34.0M to $25.0M
Mar 26, 2024 to Mar 21, 2025
RAUM · $164M to $175M
Mar 26, 2024 to Mar 21, 2025
Accounts · 227 to 221
Mar 28, 2023 to Mar 26, 2024
HNW clients · 20 to 25
Mar 28, 2023 to Mar 26, 2024
Discretionary RAUM · $142M to $164M
Mar 28, 2023 to Mar 26, 2024
HNW RAUM · $94.5M to $110M
Mar 28, 2023 to Mar 26, 2024
Individual RAUM · $32.0M to $34.0M
Mar 28, 2023 to Mar 26, 2024
Pension RAUM · $15.0M to $20.0M
Mar 28, 2023 to Mar 26, 2024
RAUM · $142M to $164M
Mar 28, 2023 to Mar 26, 2024
Accounts · 256 to 227
Mar 29, 2022 to Mar 28, 2023
HNW clients · 30 to 20
Mar 29, 2022 to Mar 28, 2023
Individual clients · 60 to 50
Mar 29, 2022 to Mar 28, 2023
Discretionary RAUM · $165M to $142M
Mar 29, 2022 to Mar 28, 2023
HNW RAUM · $125M to $94.5M
Mar 29, 2022 to Mar 28, 2023
Individual RAUM · $25.0M to $32.0M
Mar 29, 2022 to Mar 28, 2023
RAUM · $165M to $142M
Mar 29, 2022 to Mar 28, 2023
Accounts · 283 to 256
Mar 26, 2021 to Mar 29, 2022
Individual clients · 53 to 60
Mar 26, 2021 to Mar 29, 2022
Discretionary RAUM · $151M to $165M
Mar 26, 2021 to Mar 29, 2022
Individual RAUM · $15.7M to $25.0M
Mar 26, 2021 to Mar 29, 2022
Pension RAUM · $10.0M to $15.0M
Mar 26, 2021 to Mar 29, 2022
RAUM · $151M to $165M
Mar 26, 2021 to Mar 29, 2022
Accounts · 293 to 283
Jun 26, 2020 to Mar 26, 2021
HNW clients · 35 to 30
Jun 26, 2020 to Mar 26, 2021
Individual clients · 45 to 53
Jun 26, 2020 to Mar 26, 2021
Assets in custody · 3109706.0 to unset
Jun 26, 2020 to Mar 26, 2021
Custody of client assets · true to false
Jun 26, 2020 to Mar 26, 2021
Discretionary RAUM · $141M to $151M
Jun 26, 2020 to Mar 26, 2021
HNW RAUM · $120M to $125M
Jun 26, 2020 to Mar 26, 2021
Individual RAUM · $10.7M to $15.7M
Jun 26, 2020 to Mar 26, 2021
RAUM · $141M to $151M
Jun 26, 2020 to Mar 26, 2021
Accounts · 300 to 293
Mar 25, 2019 to Mar 12, 2020
Assets in custody · $4.0M to $3.1M
Mar 25, 2019 to Mar 12, 2020
Discretionary RAUM · $140M to $141M
Mar 25, 2019 to Mar 12, 2020
Individual RAUM · $10.0M to $10.7M
Mar 25, 2019 to Mar 12, 2020
RAUM · $140M to $141M
Mar 25, 2019 to Mar 12, 2020
Accounts · 292 to 300
Mar 28, 2018 to Mar 25, 2019
HNW clients · 33 to 35
Mar 28, 2018 to Mar 25, 2019
Individual clients · 50 to 45
Mar 28, 2018 to Mar 25, 2019
Assets in custody · $4.9M to $4.0M
Mar 28, 2018 to Mar 25, 2019
Discretionary RAUM · $162M to $140M
Mar 28, 2018 to Mar 25, 2019
HNW RAUM · $121M to $120M
Mar 28, 2018 to Mar 25, 2019
Individual RAUM · $13.7M to $10.0M
Mar 28, 2018 to Mar 25, 2019
Pension RAUM · $26.7M to $10.0M
Mar 28, 2018 to Mar 25, 2019
RAUM · $162M to $140M
Mar 28, 2018 to Mar 25, 2019
Accounts · 285 to 292
Mar 28, 2017 to Mar 28, 2018
Charity clients · unset to 0.0
Mar 28, 2017 to Mar 28, 2018
Corporate clients · unset to 0.0
Mar 28, 2017 to Mar 28, 2018
HNW clients · unset to 33.0
Mar 28, 2017 to Mar 28, 2018
Individual clients · unset to 50.0
Mar 28, 2017 to Mar 28, 2018
Pension plan clients · unset to 10.0
Mar 28, 2017 to Mar 28, 2018
Pooled vehicle clients · unset to 0.0
Mar 28, 2017 to Mar 28, 2018
Assets in custody · $6.7M to $4.9M
Mar 28, 2017 to Mar 28, 2018
Other offices · unset to 0.0
Mar 28, 2017 to Mar 28, 2018
Discretionary RAUM · $123M to $162M
Mar 28, 2017 to Mar 28, 2018
HNW RAUM · unset to 121236000.0
Mar 28, 2017 to Mar 28, 2018
Individual RAUM · unset to 13743000.0
Mar 28, 2017 to Mar 28, 2018
Pension RAUM · unset to 26729000.0
Mar 28, 2017 to Mar 28, 2018
Pooled vehicle RAUM · unset to 0.0
Mar 28, 2017 to Mar 28, 2018
RAUM · $123M to $162M
Mar 28, 2017 to Mar 28, 2018
Accounts · 264 to 285
Mar 22, 2016 to Mar 28, 2017
Assets in custody · $8.5M to $6.7M
Mar 22, 2016 to Mar 28, 2017

Signals

6 dated events

••• Locked
Mar 17, 2026 · ria principal change · derived
••• Locked
Mar 17, 2026 · ria majority owner change · fact
••• Locked
Mar 17, 2026 · ria majority owner change · derived
••• Locked
Mar 17, 2026 · ria majority owner change · fact
••• Locked
Mar 17, 2026 · Control person left · inference

Full timeline · 6 events

••• Locked
Mar 17, 2026 · Control person joined · 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

Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 17, 2026

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: $162Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026