DFX Intelligence

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T•• C•••••••

Independent wealth managerSEC-registered· Long Beach, Californiawebsite

Independent wealth manager, based in Long Beach, California, reporting $170M of regulatory assets across 2 registered advisors.

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

As of 2026-05-15 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $170M
Advisors: 2
Net advisor flow, 12 months: 0
RAUM change, 1 year: -5.3%
Private clients: 100%

See where advisers went See teams that moved

Advisors (2)Where the RAUM sits

As of 2026-05-15 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

-5.3%
RAUM, one year
RAUM $179M to $170M (-5.3%) on the Form ADV filed 15 May 2026, while advisors on the filing fell 3 to 2.
The filed advisor count fell, but the IAPD registrations show net 0 in 12 months; the two sources disagree, so read the filing before reading departures into it.
FactForm ADV Item 5History →

Every filed figure, and the identifiersCRD 105072 · SEC 801-11714 · 21 filingsShow

CRD 105072SEC 801-11714Legal name C••••••• I••First filing on the tape Jan 11, 2012, latest May 15, 2026SEC status approved since Jul 1, 1976IAPD

RAUM

$170M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$170M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$84.9M

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

21 filings and snapshots on the tape

RAUM -1.6% a year over three years · the tape starts Jan 11, 2012

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

RAUM$170M as of May 15, 2026

Jan 11, 2012$235M then

HNW client RAUM: no history

State-registered IARs (5.B.3)2 as of May 15, 2026

Jan 11, 20120 then

Employees (5.A)2 as of May 15, 2026

Jan 11, 20134 then

Private funds: no history

RAUM -5.3% over the last fiscal year-1.6% a year over threeIARs 3 to 2

Practice profile

derived from the filing of May 15, 2026; every figure names its basis

Archetypes

The rule behind each archetype, and every derived figure2 rulesShow

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, and at most 25 employees (Item 5.A)

RAUM per advisor: $84.9MderivedRAUM 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: $398,372derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.0derivedItem 5.A over advisors
Advisors per office: 2.0derived1 office incl. principal (1.F.5)
RAUM growth, one year: -5.3%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: percentage of assets, subscriptionreportedItem 5.E
Advisory activities: portfolio management for individuals, publicationsreportedItem 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)
compensates persons for client referrals (8.G.1)
compensates non-employees for client referrals (8.G.2)

Where the RAUM sits

Form ADV Item 5.D, latest filing

100% individuals

The breakdown by client type, and the client counts1 client typesShow

Individuals$170M100%

Individual clients: 426reported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 426reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUMreported
Class basis: RAUM: 100% private clients, 0% pooled funds, 0% 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

2 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry	Prior firms
S••••• G••••• M•••	Long Beach, Ca	Jan 30, 2026	43 y	1
C••••••••• K••• M•••	Long Beach, Ca	Jan 30, 2026	32 y	1

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

S•••••••• D•••••• F•••••• · Presidentcontrol
since 11/1975 · owns 75% or more
M•••• C••••••••• K••• · Vice President
since 07/1999 · owns less than 5%
M•••• S•••••• G••••• · Executive Vice President/Chief Compliance Officer
since 09/2004 · owns less than 5%
M•••• W••••••• E••••• · Vice President
since 07/1999 · 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
Long Beach, Ca · principal	2	2	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Advisory employees · 3 to 2
Jan 5, 2026 to May 15, 2026
Employees · 3 to 2
Jan 5, 2026 to May 15, 2026
State-registered IARs · 3 to 2
Jan 5, 2026 to May 15, 2026
Accounts · 479 to 426
Jan 17, 2025 to Jan 5, 2026
Individual clients · 479 to 426
Jan 17, 2025 to Jan 5, 2026

Full history · 76 changes

Discretionary RAUM · $179M to $170M
Jan 17, 2025 to Jan 5, 2026
Individual RAUM · $179M to $170M
Jan 17, 2025 to Jan 5, 2026
RAUM · $179M to $170M
Jan 17, 2025 to Jan 5, 2026
Accounts · 471 to 479
Jan 10, 2024 to Jan 17, 2025
Individual clients · 471 to 479
Jan 10, 2024 to Jan 17, 2025
Financial planning clients · unset to
Jan 10, 2024 to Jan 17, 2025
Discretionary RAUM · $185M to $179M
Jan 10, 2024 to Jan 17, 2025
Individual RAUM · $185M to $179M
Jan 10, 2024 to Jan 17, 2025
RAUM · $185M to $179M
Jan 10, 2024 to Jan 17, 2025
Accounts · 551 to 471
Jan 12, 2023 to Jan 10, 2024
Advisory employees · 4 to 3
Jan 12, 2023 to Jan 10, 2024
Individual clients · 551 to 471
Jan 12, 2023 to Jan 10, 2024
Employees · 4 to 3
Jan 12, 2023 to Jan 10, 2024
State-registered IARs · 4 to 3
Jan 12, 2023 to Jan 10, 2024
Discretionary RAUM · $178M to $185M
Jan 12, 2023 to Jan 10, 2024
Individual RAUM · $178M to $185M
Jan 12, 2023 to Jan 10, 2024
RAUM · $178M to $185M
Jan 12, 2023 to Jan 10, 2024
Accounts · 587 to 551
Jun 13, 2022 to Jan 12, 2023
Individual clients · 587 to 551
Jun 13, 2022 to Jan 12, 2023
Discretionary RAUM · $235M to $178M
Jun 13, 2022 to Jan 12, 2023
Individual RAUM · $235M to $178M
Jun 13, 2022 to Jan 12, 2023
RAUM · $235M to $178M
Jun 13, 2022 to Jan 12, 2023
HQ city · LOS ALAMITOS to LONG BEACH
Jan 17, 2022 to Jun 13, 2022
Accounts · 631 to 587
Jan 13, 2021 to Jan 17, 2022
Individual clients · 631 to 587
Jan 13, 2021 to Jan 17, 2022
Discretionary RAUM · $214M to $235M
Jan 13, 2021 to Jan 17, 2022
Individual RAUM · $214M to $235M
Jan 13, 2021 to Jan 17, 2022
RAUM · $214M to $235M
Jan 13, 2021 to Jan 17, 2022
Accounts · 668 to 631
Jun 26, 2020 to Jan 13, 2021
Individual clients · 668 to 631
Jun 26, 2020 to Jan 13, 2021
Discretionary RAUM · $223M to $214M
Jun 26, 2020 to Jan 13, 2021
Individual RAUM · $223M to $214M
Jun 26, 2020 to Jan 13, 2021
RAUM · $223M to $214M
Jun 26, 2020 to Jan 13, 2021
Accounts · 715 to 668
Jan 17, 2019 to Jan 13, 2020
Individual clients · 715 to 668
Jan 17, 2019 to Jan 13, 2020
Discretionary RAUM · $220M to $223M
Jan 17, 2019 to Jan 13, 2020
Individual RAUM · $220M to $223M
Jan 17, 2019 to Jan 13, 2020
RAUM · $220M to $223M
Jan 17, 2019 to Jan 13, 2020
Accounts · 729 to 715
Jan 22, 2018 to Jan 17, 2019
Individual clients · 729 to 715
Jan 22, 2018 to Jan 17, 2019
Discretionary RAUM · $226M to $220M
Jan 22, 2018 to Jan 17, 2019
Individual RAUM · $226M to $220M
Jan 22, 2018 to Jan 17, 2019
RAUM · $226M to $220M
Jan 22, 2018 to Jan 17, 2019
Accounts · 750 to 729
Jan 4, 2017 to Jan 22, 2018
Individual clients · unset to 729.0
Jan 4, 2017 to Jan 22, 2018
Other offices · unset to 0.0
Jan 4, 2017 to Jan 22, 2018
Discretionary RAUM · $213M to $226M
Jan 4, 2017 to Jan 22, 2018
Individual RAUM · unset to 225725363.0
Jan 4, 2017 to Jan 22, 2018
RAUM · $213M to $226M
Jan 4, 2017 to Jan 22, 2018
Accounts · 791 to 750
Jan 6, 2016 to Jan 4, 2017
Discretionary RAUM · $210M to $213M
Jan 6, 2016 to Jan 4, 2017
RAUM · $210M to $213M
Jan 6, 2016 to Jan 4, 2017
Accounts · 868 to 791
Jan 16, 2015 to Jan 6, 2016
Discretionary RAUM · $233M to $210M
Jan 16, 2015 to Jan 6, 2016
Non-discretionary RAUM · $22.1M to $0
Jan 16, 2015 to Jan 6, 2016
RAUM · $255M to $210M
Jan 16, 2015 to Jan 6, 2016
Accounts · 884 to 868
Jan 9, 2014 to Jan 16, 2015
Discretionary RAUM · $214M to $233M
Jan 9, 2014 to Jan 16, 2015
Non-discretionary RAUM · $17.6M to $22.1M
Jan 9, 2014 to Jan 16, 2015
RAUM · $231M to $255M
Jan 9, 2014 to Jan 16, 2015
Accounts · 947 to 884
Jan 11, 2013 to Jan 9, 2014
Discretionary RAUM · $181M to $214M
Jan 11, 2013 to Jan 9, 2014
Non-discretionary RAUM · $15.6M to $17.6M
Jan 11, 2013 to Jan 9, 2014
RAUM · $197M to $231M
Jan 11, 2013 to Jan 9, 2014
Accounts · 1,108 to 947
Jan 11, 2012 to Jan 11, 2013
Advisory employees · unset to 4.0
Jan 11, 2012 to Jan 11, 2013
Employees · unset to 4.0
Jan 11, 2012 to Jan 11, 2013
State-registered IARs · 0 to 4
Jan 11, 2012 to Jan 11, 2013
Discretionary RAUM · $218M to $181M
Jan 11, 2012 to Jan 11, 2013
Non-discretionary RAUM · $16.9M to $15.6M
Jan 11, 2012 to Jan 11, 2013
RAUM · $235M to $197M
Jan 11, 2012 to Jan 11, 2013

Signals

6 dated events

••• Locked
May 15, 2026 · ria principal change · derived
••• Locked
May 15, 2026 · ria majority owner change · derived
••• Locked
May 15, 2026 · ria principal change · derived
••• Locked
May 15, 2026 · ria ownership band change · fact
••• Locked
May 15, 2026 · ria ownership band change · fact

Full timeline · 6 events

••• Locked
May 15, 2026 · Control person left · inference

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: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Website: ••• Lockedreportedpublic record, Form ADV, May 15, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, May 15, 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: $84.9Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026