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.
SEC-registered adviser
Tarbox Family Office, Inc.
Latest filing Mar 26, 2026
First filing on the tape Mar 29, 2012 · 25 filings
SEC status approved since Jun 16, 1986
RAUM
$954M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
88%
$839M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$159M
derived; firm RAUM over IAPD count
Employees
8
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$954M as of Mar 26, 2026
Mar 29, 2012$253M then
HNW client RAUM$839M as of Mar 26, 2026
Mar 24, 2018$544M then
State-registered IARs (5.B.3)6 as of Mar 26, 2026
Mar 29, 20120 then
Employees (5.A)8 as of Mar 26, 2026
Jan 18, 20135 then
Private funds: no history
RAUM -1.4% over the last fiscal year+7.9% a year over threeIARs 6 to 6offices 1 to 0
Practice profile
derived from the filing of Mar 26, 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
- RAUM per advisor
- $159MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.0MderivedHNW RAUM over HNW clients
- Average account
- $1.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -1.4%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, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Custody
- $387M, 212 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$839M88%
- Corporations and businesses$93.2M9.8%
- Charitable organizations$21.1M2.2%
- Individual clients
- n/areported
- HNW clients
- 208reported
- Pension plan clients
- n/areported
- Charitable clients
- 9reported
- Accounts
- 731reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $387M for 212 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.88 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Michael J NozzarellaCertified Financial Planner | Newport Beach, Ca | Apr 29, 2004 | 27 y | 0 |
| Mary Elizabeth SiglerChartered Financial Analyst | Newport Beach, Ca | Feb 21, 2014 | 31 y | 1 |
| Kai XiongChartered Financial Analyst | Newport Beach, Ca | Apr 10, 2023 | 14 y | 0 |
| Laura Ann TarboxCertified Financial Planner | Newport Beach, Ca | Jan 1, 2025 | 41 y | 0 |
| Connor Michael Macho | Newport Beach, Ca | Aug 2, 2025 | 11 y | 0 |
| Timothy Joseph Ryan | Newport Beach, Ca | Nov 5, 2025 | 9 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 headcount3 left over 36 months
Left, latest
- Trevor Ryan Scheid to Luminescent Wealth Management, Inc.Sep 3, 2025 · RIA to RIA
- Erin Beth Itkoe to Luminescent Wealth Management, Inc.Sep 3, 2025 · RIA to RIA
- James Martin Meussner to Creative PlanningDec 6, 2024 · RIA to RIA
- Alfonso Rodriguez Arriaga to Ep Wealth AdvisorsApr 10, 2023 · RIA to RIA
- Dale Andrew Phillips to Fortitude Family OfficeNov 4, 2021 · RIA to a newly registered adviser
- Matthew Gene Walker to Fortitude Family OfficeNov 4, 2021 · RIA to a newly registered adviser
- Matthew Paul Lucas to Fortitude Family OfficeNov 4, 2021 · RIA to a newly registered adviser
- Matthew Brent Brower to Fortitude Family OfficeNov 4, 2021 · RIA to a newly registered adviser
- Aaron Eduard Stolpen to Domani Wealth, LLCApr 22, 2021 · RIA to RIA
- Emily Elan Balmages to Warren Street Wealth Advisors, LLCOct 23, 2019 · RIA to RIA
- James Anderson Egerstrom to Confidence Wealth Management, Inc.Jun 25, 2019 · RIA to RIA
- Mark Derral Wilson to Mile Wealth ManagementFeb 13, 2017 · Other
- Martin Patrick Mcnamara to Marrick WealthOct 14, 2011 · Other
- Stephen Yu to Lumen FundsOct 15, 2008 · Other
- Jill Allagood Rogers to Comprehensive Personal Financial AdvisorsOct 2, 2007 · Other
Joined, latest
- James Martin Meussner from Charles Schwab & Co., Inc.Jul 15, 2024 · Affiliated broker-dealer or bank to independent RIA
- Dale Andrew Phillips from Mra AssociatesApr 27, 2020 · RIA to RIA
- Matthew Paul Lucas from KeatsconnellyMar 3, 2020 · RIA to RIA
- Erin Beth Itkoe from Versant Capital Management, Inc.May 31, 2019 · RIA to RIA
- Trevor Ryan Scheid from Versant Capital Management, Inc.May 28, 2019 · RIA to RIA
- Matthew Gene Walker from Mra AssociatesJan 17, 2019 · RIA to RIA
- James Anderson Egerstrom from Td Ameritrade Investment Management, LLCAug 29, 2018 · RIA to RIA
- Aaron Eduard Stolpen from United Capital Financial AdvisorsFeb 7, 2018 · Other
- Mary Elizabeth Sigler from Oakwood Capital Management LLCFeb 21, 2014 · Other
- Martin Patrick Mcnamara from Fairway Wealth Management LLCOct 2, 2007 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 4 left for Fortitude Family OfficeNov 4, 2021 · Phoenix, Az · Firm absorbed
- 2 joined from Versant Capital Management, Inc.May 13, 2019 · Phoenix, Az
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- J Michael Nozzarella · Managing Directorcontrolsince 01/2006 · owns 10% to 25%
- Elizabeth Mary Sigler · Chief Compliance Officercontrolsince 01/2016 · owns 5% to 10%
- Ann Laura Tarbox · President / Chief Executive Officercontrolsince 06/1985 · 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 |
|---|---|---|---|---|---|
| Newport Beach, Ca · principal | 6 | 1 | 0 | ||
| Phoenix, Az | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Scottsdale, AZ2 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Mar 26, 2026TARBOX, LAURA, ANN (PRESIDENT / CHIEF EXECUTIVE OFFICER) left Schedule A between the filings of 2016-03-29 and 2026-03-26peers: independent wealth managers, $500M to $1B (1,483)
What changed
consecutive filings, newest first
- Accounts · 862 to 731Mar 29, 2025 to Mar 26, 2026
- Charity clients · 8 to 9Mar 29, 2025 to Mar 26, 2026
- HNW clients · 204 to 208Mar 29, 2025 to Mar 26, 2026
- Assets in custody · $337M to $387MMar 29, 2025 to Mar 26, 2026
- Financial planning clients · 51-100 to 101-250Mar 29, 2025 to Mar 26, 2026
- Other offices · 1 to 0Mar 29, 2025 to Mar 26, 2026
- Discretionary RAUM · $967M to $954MMar 29, 2025 to Mar 26, 2026
- HNW RAUM · $883M to $839MMar 29, 2025 to Mar 26, 2026
- RAUM · $967M to $954MMar 29, 2025 to Mar 26, 2026
- Accounts · 815 to 862Mar 13, 2024 to Mar 29, 2025
- Advisory activities · 5 to 4Mar 13, 2024 to Mar 29, 2025
- Charity clients · unset to 8.0Mar 13, 2024 to Mar 29, 2025
- HNW clients · 220 to 204Mar 13, 2024 to Mar 29, 2025
- Assets in custody · $273M to $337MMar 13, 2024 to Mar 29, 2025
- Employees · 9 to 8Mar 13, 2024 to Mar 29, 2025
- Financial planning clients · 101-250 to 51-100Mar 13, 2024 to Mar 29, 2025
- Discretionary RAUM · $874M to $967MMar 13, 2024 to Mar 29, 2025
- HNW RAUM · $798M to $883MMar 13, 2024 to Mar 29, 2025
- RAUM · $874M to $967MMar 13, 2024 to Mar 29, 2025
- Accounts · 800 to 815Mar 22, 2023 to Mar 13, 2024
- Corporate clients · 12 to 13Mar 22, 2023 to Mar 13, 2024
- HNW clients · 208 to 220Mar 22, 2023 to Mar 13, 2024
- Assets in custody · $297M to $273MMar 22, 2023 to Mar 13, 2024
- Employees · 11 to 9Mar 22, 2023 to Mar 13, 2024
- Discretionary RAUM · $759M to $874MMar 22, 2023 to Mar 13, 2024
- HNW RAUM · $687M to $798MMar 22, 2023 to Mar 13, 2024
- RAUM · $759M to $874MMar 22, 2023 to Mar 13, 2024
- Accounts · 851 to 800Mar 18, 2022 to Mar 22, 2023
- HNW clients · 206 to 208Mar 18, 2022 to Mar 22, 2023
- Assets in custody · $252M to $297MMar 18, 2022 to Mar 22, 2023
- Discretionary RAUM · $1.0B to $759MMar 18, 2022 to Mar 22, 2023
- HNW RAUM · $919M to $687MMar 18, 2022 to Mar 22, 2023
- RAUM · $1.0B to $759MMar 18, 2022 to Mar 22, 2023
- Accounts · 779 to 851Apr 22, 2021 to Mar 18, 2022
- Advisory employees · 11 to 6Apr 22, 2021 to Mar 18, 2022
- Charity clients · 5.0 to unsetApr 22, 2021 to Mar 18, 2022
- Corporate clients · 23 to 12Apr 22, 2021 to Mar 18, 2022
- HNW clients · 119 to 206Apr 22, 2021 to Mar 18, 2022
- Assets in custody · $295M to $252MApr 22, 2021 to Mar 18, 2022
- State-registered IARs · 11 to 6Apr 22, 2021 to Mar 18, 2022
Signals
7 dated events
- Trevor Ryan Scheid left Tarbox Family Office, Inc. for Luminescent Wealth Management, Inc. (registered 2025-08-28)Sep 3, 2025 · Advisor changed firm · fact
- Erin Beth Itkoe left Tarbox Family Office, Inc. for Luminescent Wealth Management, Inc. (registered 2025-08-28)Sep 3, 2025 · Advisor changed firm · fact
- James Martin Meussner left Tarbox Family Office, Inc. for Creative Planning (registered 2025-06-09)Dec 6, 2024 · Advisor changed firm · fact
- Alfonso Rodriguez Arriaga left Tarbox Family Office, Inc. for Ep Wealth Advisors (registered 2026-01-09)Apr 10, 2023 · Advisor changed firm · fact
- Tarbox Family Office, Inc. reported RAUM $758.8M, down 27% from $1.0B (2022-03-18 to 2023-03-22)Mar 22, 2023 · RAUM change · derived
- Gene Matthew Walker (Treasurer) no longer on Schedule A of Tarbox Family Office, Inc. (listed 2021-04-22, absent 2022-03-18)Mar 18, 2022 · Control person left · inference
- Gene Matthew Walker (Treasurer) appeared on Schedule A of Tarbox Family Office, Inc.Mar 21, 2019 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
- Tarbox Family Office, Inc. · Family Officesshared crd · office
How to reach
public business contact points only, each with its source
- Business email
- info@tarbox.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 949-721-0734reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 949-721-2330reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/THETARBOXGROUPINC.reportedpublic record, Form ADV, Sep 17, 2026
- Website
- TARBOX.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 949-721-2330reportedpublic record, Form ADV, Mar 26, 2026
- Contact form
- tarbox.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- tarbox.com/who-we-arereportedpublished by the firm, firm site, Sep 15, 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
- $159Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026