DFX Intelligence

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C••••••• • C•••••• I••

Wealth manager with institutional or fund businessSEC-registered· San Diego, Californiawebsite

Wealth manager with institutional or fund business, based in San Diego, California, reporting $466M of regulatory assets across 2 registered advisors.

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

As of 2026-03-23 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $466M
Advisors: 2
Net advisor flow, 12 months: 0
RAUM change, 1 year: +7.7%
Private clients: 48%

See where advisers went See teams that moved

Advisors (2)Where the RAUM sits

As of 2026-03-23 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 23 Mar 2026, RAUM $432M to $466M (+7.7%) on the Form ADV filed 23 Mar 2026, while advisors on the filing held at 2.

Every filed figure, and the identifiersCRD 105406 · SEC 801-34425 · 22 filingsShow

CRD 105406SEC 801-34425Legal name C••••••• • C• I••First filing on the tape Mar 21, 2012, latest Mar 23, 2026SEC status approved since Jun 1, 1989IAPD

RAUM

$466M

reported, Item 5.F

Discretionary

85%

of RAUM

Private clients

48%

$221M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$233M

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

22 filings and snapshots on the tape

RAUM +9.3% a year over three years · the tape starts Mar 21, 2012

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

RAUM$466M as of Mar 23, 2026

Mar 21, 2012$249M then

HNW client RAUM$180M as of Mar 23, 2026

Mar 29, 2018$218M then

State-registered IARs (5.B.3)2 as of Mar 23, 2026

Mar 13, 20133 then

Employees (5.A)3 as of Mar 23, 2026

Mar 13, 20135 then

Private funds: no history

RAUM +7.7% over the last fiscal year+9.3% a year over threeIARs 2 to 2

Practice profile

derived from the filing of Mar 23, 2026; every figure names its basis

Archetypes

Dual wealth and asset manager

The rule behind each archetype, and every derived figure1 ruleShow

Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent

RAUM per advisor: $233MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 48derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $7.2MderivedHNW RAUM over HNW clients
Average account: $1.4MderivedRAUM over accounts (5.F.2.f)
Discretionary: 85%derivedof RAUM
Institutional: 39%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.5derivedItem 5.A over advisors
Advisors per office: 2.0derived1 office incl. principal (1.F.5)
RAUM growth, one year: +7.7%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +9.2%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
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

44% high-net-worth individuals, 38% charitable organizations, and 3 other client types

The breakdown by client type, and the client counts5 client typesShow

High-net-worth individuals$180M44%
Charitable organizations$156M38%
Individuals$41.2M10%
Pension and profit-sharing plans$23.3M5.7%
Corporations and businesses$5.3M1.3%

Individual clients: 70reported
HNW clients: 25reported
Pension plan clients: n/areported
Charitable clients: 5reported
Accounts: 325reported
Financial planning clients: 26-50reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: RAUM: 48% private clients, 0% pooled funds, 39% 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
H••••• C•••••••• O•••••••••Chartered Financial Analyst	San Diego, Ca	Dec 15, 2010	25 y	0
M•••••• D•••• M•••••••	San Diego, Ca	Feb 4, 2026	28 y	0

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

M•••••••• M••••••• D•••• · President, Chief Executive Officer, Chief Compliance Officercontrol
since 05/2022 · owns 10% to 25%
O••••••••• H•••••• C•••••••• · Vice President, Chief Financial Officercontrol
since 05/2022 · owns 5% to 10%
M•••••••• M••••••• D•••• · Managing Membercontrol
since 01/2022 · owns 25% to 50% of M•••••• L••
O••••••••• H•••••• C•••••••• · Managing Membercontrol
since 01/2022 · owns 25% to 50% of M•••••• L••

Entity owners

M•••••• L•• · Shareholder
direct · owns 50% to 75%

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 Diego, Ca · principal	2	1	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

2 against comparable advisers; where to look, not conclusions

unusually large average HNW clientStatic outlier · filing Mar 23, 2026
HNW RAUM per HNW client of $7,203,991 against a peer median of $2,402,353 (4945 comparable advisers, 98.0th percentile, 3.2 robust deviations)
peers: independent wealth managers, $100M to $500M (4,945) · 98% percentile
high institutional concentrationStatic outlier · filing Mar 23, 2026
institutional share of RAUM of 39% against a peer median of 0% (5683 comparable advisers, 98.0th percentile, 12.9 robust deviations)
peers: independent wealth managers, $100M to $500M (5,683) · 98% percentile

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 279 to 325
Mar 11, 2025 to Mar 23, 2026
HNW clients · 21 to 25
Mar 11, 2025 to Mar 23, 2026
Individual clients · 66 to 70
Mar 11, 2025 to Mar 23, 2026
Discretionary RAUM · $351M to $395M
Mar 11, 2025 to Mar 23, 2026
HNW RAUM · $179M to $180M
Mar 11, 2025 to Mar 23, 2026

Full history · 80 changes

Individual RAUM · $31.8M to $41.2M
Mar 11, 2025 to Mar 23, 2026
Non-discretionary RAUM · $81.4M to $70.5M
Mar 11, 2025 to Mar 23, 2026
Pension RAUM · $24.2M to $23.3M
Mar 11, 2025 to Mar 23, 2026
RAUM · $432M to $466M
Mar 11, 2025 to Mar 23, 2026
Accounts · 268 to 279
Mar 15, 2024 to Mar 11, 2025
HNW clients · 23 to 21
Mar 15, 2024 to Mar 11, 2025
Individual clients · 62 to 66
Mar 15, 2024 to Mar 11, 2025
Financial planning clients · 26-50 to 26-50
Mar 15, 2024 to Mar 11, 2025
Discretionary RAUM · $316M to $351M
Mar 15, 2024 to Mar 11, 2025
HNW RAUM · $172M to $179M
Mar 15, 2024 to Mar 11, 2025
Individual RAUM · $28.2M to $31.8M
Mar 15, 2024 to Mar 11, 2025
Non-discretionary RAUM · $83.5M to $81.4M
Mar 15, 2024 to Mar 11, 2025
Pension RAUM · $22.6M to $24.2M
Mar 15, 2024 to Mar 11, 2025
RAUM · $400M to $432M
Mar 15, 2024 to Mar 11, 2025
Accounts · 247 to 268
Mar 10, 2023 to Mar 15, 2024
HNW clients · 24 to 23
Mar 10, 2023 to Mar 15, 2024
Individual clients · 61 to 62
Mar 10, 2023 to Mar 15, 2024
Discretionary RAUM · $227M to $316M
Mar 10, 2023 to Mar 15, 2024
HNW RAUM · $157M to $172M
Mar 10, 2023 to Mar 15, 2024
Individual RAUM · $24.8M to $28.2M
Mar 10, 2023 to Mar 15, 2024
Non-discretionary RAUM · $130M to $83.5M
Mar 10, 2023 to Mar 15, 2024
Pension RAUM · $26.7M to $22.6M
Mar 10, 2023 to Mar 15, 2024
RAUM · $357M to $400M
Mar 10, 2023 to Mar 15, 2024
Accounts · 236 to 247
May 5, 2022 to Mar 10, 2023
HNW clients · 25 to 24
May 5, 2022 to Mar 10, 2023
Individual clients · 56 to 61
May 5, 2022 to Mar 10, 2023
Discretionary RAUM · $250M to $227M
May 5, 2022 to Mar 10, 2023
HNW RAUM · $173M to $157M
May 5, 2022 to Mar 10, 2023
Individual RAUM · $26.1M to $24.8M
May 5, 2022 to Mar 10, 2023
Non-discretionary RAUM · $142M to $130M
May 5, 2022 to Mar 10, 2023
Pension RAUM · $30.2M to $26.7M
May 5, 2022 to Mar 10, 2023
RAUM · $392M to $357M
May 5, 2022 to Mar 10, 2023
Advisory employees · 3 to 2
Mar 18, 2022 to May 5, 2022
Employees · 5 to 3
Mar 18, 2022 to May 5, 2022
State-registered IARs · 3 to 2
Mar 18, 2022 to May 5, 2022
Accounts · 222 to 236
Mar 29, 2021 to Mar 18, 2022
HNW clients · 27 to 25
Mar 29, 2021 to Mar 18, 2022
Individual clients · 49 to 56
Mar 29, 2021 to Mar 18, 2022
Other offices · 1 to 0
Mar 29, 2021 to Mar 18, 2022
Discretionary RAUM · $220M to $250M
Mar 29, 2021 to Mar 18, 2022
HNW RAUM · $181M to $173M
Mar 29, 2021 to Mar 18, 2022
Individual RAUM · $20.2M to $26.1M
Mar 29, 2021 to Mar 18, 2022
Non-discretionary RAUM · $160M to $142M
Mar 29, 2021 to Mar 18, 2022
Pension RAUM · $31.9M to $30.2M
Mar 29, 2021 to Mar 18, 2022
RAUM · $380M to $392M
Mar 29, 2021 to Mar 18, 2022
Accounts · 218 to 222
Jun 11, 2020 to Mar 29, 2021
HNW clients · 29 to 27
Jun 11, 2020 to Mar 29, 2021
Individual clients · 44 to 49
Jun 11, 2020 to Mar 29, 2021
Discretionary RAUM · $203M to $220M
Jun 11, 2020 to Mar 29, 2021
HNW RAUM · $168M to $181M
Jun 11, 2020 to Mar 29, 2021
Individual RAUM · $18.4M to $20.2M
Jun 11, 2020 to Mar 29, 2021
Non-discretionary RAUM · $145M to $160M
Jun 11, 2020 to Mar 29, 2021
Pension RAUM · $33.9M to $31.9M
Jun 11, 2020 to Mar 29, 2021
RAUM · $348M to $380M
Jun 11, 2020 to Mar 29, 2021
Accounts · 208 to 218
Mar 22, 2019 to Mar 30, 2020
Charity clients · unset to 5.0
Mar 22, 2019 to Mar 30, 2020
Individual clients · 40 to 44
Mar 22, 2019 to Mar 30, 2020
Discretionary RAUM · $176M to $203M
Mar 22, 2019 to Mar 30, 2020
HNW RAUM · $186M to $168M
Mar 22, 2019 to Mar 30, 2020
Individual RAUM · $15.3M to $18.4M
Mar 22, 2019 to Mar 30, 2020
Non-discretionary RAUM · $131M to $145M
Mar 22, 2019 to Mar 30, 2020
Pension RAUM · $28.6M to $33.9M
Mar 22, 2019 to Mar 30, 2020
RAUM · $308M to $348M
Mar 22, 2019 to Mar 30, 2020
Accounts · 205 to 208
Aug 24, 2018 to Mar 22, 2019
Discretionary RAUM · $182M to $176M
Aug 24, 2018 to Mar 22, 2019
HNW RAUM · $218M to $186M
Aug 24, 2018 to Mar 22, 2019
Individual RAUM · $16.6M to $15.3M
Aug 24, 2018 to Mar 22, 2019
Non-discretionary RAUM · $164M to $131M
Aug 24, 2018 to Mar 22, 2019
Pension RAUM · $30.2M to $28.6M
Aug 24, 2018 to Mar 22, 2019
RAUM · $346M to $308M
Aug 24, 2018 to Mar 22, 2019
Advisory employees · 4 to 3
Mar 29, 2018 to Aug 24, 2018
Employees · 6 to 5
Mar 29, 2018 to Aug 24, 2018
State-registered IARs · 4 to 3
Mar 29, 2018 to Aug 24, 2018
Accounts · 207 to 205
May 25, 2017 to Mar 29, 2018
HNW clients · unset to 29.0
May 25, 2017 to Mar 29, 2018

Signals

2 dated events

••• Locked
May 5, 2022 · Control person left · inference
••• Locked
May 5, 2022 · 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 email: ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
Website: ••• Lockedreportedpublic record, Form ADV, Mar 23, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 23, 2026
Contact form: ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
Team page: ••• Lockedreportedpublished by the firm, firm site, Sep 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: Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
RAUM per advisor: $233Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026