DFX Intelligence
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B•••• D• L•••••• I•••
Independent wealth manager, based in San Diego, California, reporting $388M of regulatory assets across 3 registered advisors.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $388M
- Advisors
- 3
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- +4.8%
- Private clients
- 100% of RAUM, $388M
Form ADV
IAPD
IAPD registration history
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- Contact points 5
Every filed figure, and the identifiersCRD 105972 · SEC 801-27745 · 21 filingsShowHide
CRD 105972SEC 801-27745First filing on the tape Feb 27, 2012, latest Jan 22, 2026SEC status approved since Aug 22, 1986IAPD
RAUM
$388M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$388M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$129M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$388M as of Jan 22, 2026
Feb 27, 2012$176M then
HNW client RAUM$364M as of Jan 22, 2026
Feb 21, 2018$243M then
State-registered IARs (5.B.3)3 as of Jan 22, 2026
Feb 27, 20120 then
Employees (5.A)3 as of Jan 22, 2026
Mar 19, 20135 then
Private funds: no history
RAUM +4.8% over the last fiscal year+6.0% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Jan 22, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- $129MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 65derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.2MderivedHNW RAUM over HNW clients
- Average account
- $603,542derivedRAUM 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
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +4.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.9%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $388M, 197 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
- 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$364M94%
- Individuals$23.9M6.1%
- Corporations and businesses$258,2880.1%
- Individual clients
- 80reported
- HNW clients
- 115reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 643reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $388M for 197 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• G••••• K••••••Certified Financial Planner, Chartered Financial Analyst | San Diego, Ca | Oct 7, 2025 | 25 y | 0 |
| R•••••• D••••Certified Financial Planner, Chartered Financial Analyst | San Diego, Ca | Oct 21, 2025 | 11 y | 0 |
| B•••• D••• L•••••Certified Financial Planner, Chartered Financial Analyst | San Diego, Ca | Nov 17, 2025 | 35 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L•••••• B••••• D••• · President, Chief Compliance Officercontrolsince 07/1986 · owns 75% or more
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 | 3 | 3 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 657 to 643Aug 29, 2025 to Jan 22, 2026
- HNW clients · 114 to 115Aug 29, 2025 to Jan 22, 2026
- Individual clients · 89 to 80Aug 29, 2025 to Jan 22, 2026
- Assets in custody · $370M to $388MAug 29, 2025 to Jan 22, 2026
- Discretionary RAUM · $370M to $388MAug 29, 2025 to Jan 22, 2026
- HNW RAUM · $342M to $364MAug 29, 2025 to Jan 22, 2026
- Individual RAUM · $28.3M to $23.9MAug 29, 2025 to Jan 22, 2026
- RAUM · $370M to $388MAug 29, 2025 to Jan 22, 2026
- Accounts · 644 to 657Feb 27, 2024 to Jan 31, 2025
- HNW clients · 113 to 114Feb 27, 2024 to Jan 31, 2025
- Assets in custody · $349M to $370MFeb 27, 2024 to Jan 31, 2025
- Financial planning clients · 101-250 to 101-250Feb 27, 2024 to Jan 31, 2025
- Discretionary RAUM · $349M to $370MFeb 27, 2024 to Jan 31, 2025
- HNW RAUM · $320M to $342MFeb 27, 2024 to Jan 31, 2025
- Individual RAUM · $28.9M to $28.3MFeb 27, 2024 to Jan 31, 2025
- RAUM · $349M to $370MFeb 27, 2024 to Jan 31, 2025
- Accounts · 637 to 644Apr 26, 2023 to Feb 27, 2024
- Advisory employees · 2 to 3Apr 26, 2023 to Feb 27, 2024
- HNW clients · 108 to 113Apr 26, 2023 to Feb 27, 2024
- Individual clients · 97 to 89Apr 26, 2023 to Feb 27, 2024
- Assets in custody · $378M to $349MApr 26, 2023 to Feb 27, 2024
- Employees · 2 to 3Apr 26, 2023 to Feb 27, 2024
- State-registered IARs · 2 to 3Apr 26, 2023 to Feb 27, 2024
- Discretionary RAUM · $325M to $349MApr 26, 2023 to Feb 27, 2024
- HNW RAUM · $294M to $320MApr 26, 2023 to Feb 27, 2024
- Individual RAUM · $30.6M to $28.9MApr 26, 2023 to Feb 27, 2024
- RAUM · $325M to $349MApr 26, 2023 to Feb 27, 2024
- Accounts · 617 to 637Feb 18, 2022 to Feb 23, 2023
- Advisory activities · 3 to 2Feb 18, 2022 to Feb 23, 2023
- HNW clients · 120 to 108Feb 18, 2022 to Feb 23, 2023
- Individual clients · 79 to 97Feb 18, 2022 to Feb 23, 2023
- Employees · 3 to 2Feb 18, 2022 to Feb 23, 2023
- Discretionary RAUM · $378M to $325MFeb 18, 2022 to Feb 23, 2023
- HNW RAUM · $359M to $294MFeb 18, 2022 to Feb 23, 2023
- Individual RAUM · $18.4M to $30.6MFeb 18, 2022 to Feb 23, 2023
- RAUM · $378M to $325MFeb 18, 2022 to Feb 23, 2023
- Accounts · 618 to 617Feb 22, 2021 to Feb 18, 2022
- HNW clients · 111 to 120Feb 22, 2021 to Feb 18, 2022
- Individual clients · 82 to 79Feb 22, 2021 to Feb 18, 2022
- Assets in custody · $319M to $378MFeb 22, 2021 to Feb 18, 2022
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
- Business email
- ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
- Website
- ••• Lockedreportedpublic record, Form ADV, Jan 22, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Jan 22, 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
- $129Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026