DFX Intelligence

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W••••••••• A•••• M••••••••• I••

Independent wealth managerSEC-registered· Los Angeles, Californiawebsite

Independent wealth manager, based in Los Angeles, California, reporting $504M of regulatory assets across 3 registered advisors.

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

As of 2026-03-20 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $504M
Advisors: 3
Net advisor flow, 12 months: 0 (0 in, 0 out)
RAUM change, last fiscal year: Not established
Private clients: 93% of RAUM, $471M

Advisors (3)Advisor movement Where the RAUM sits

As of 2026-03-20 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Why this matters

8 published business contact points are on record, each with its source.
Contact points 8

Every filed figure, and the identifiersCRD 106176 · SEC 801-113165 · 29 filingsShow

CRD 106176SEC 801-113165First filing on the tape Feb 9, 2012, latest Mar 20, 2026SEC status approved since May 8, 2018IAPD

RAUM

$504M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

93%

$471M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$168M

derived; firm RAUM over IAPD count

Employees

3 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

29 filings and snapshots on the tape

RAUM$504M as of Mar 20, 2026

Feb 9, 2012$46.2M then

HNW client RAUM$446M as of Mar 20, 2026

Feb 19, 2019$110M then

State-registered IARs (5.B.3)3 as of Mar 20, 2026

Feb 9, 20120 then

Employees (5.A)3 as of Mar 20, 2026

Feb 19, 20193 then

Private funds: no history

RAUM n/a over the last fiscal year+20% a year over three

Practice profile

derived from the filing of Mar 20, 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: $168MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 50derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $4.1MderivedHNW RAUM over HNW clients
Average account: $833,720derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 2.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.0derivedItem 5.A over advisors
Advisors per office: 1.0derived3 offices incl. principal (1.F.5)
RAUM growth, one year: unknownderivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: percentage of assets, otherreportedItem 5.E
Advisory activities: portfolio management for individuals, 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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$446M89%
Individuals$24.6M4.9%
Corporations and businesses$21.6M4.3%
Pension and profit-sharing plans$8.9M1.8%
Charitable organizations$2.6M0.5%

Individual clients: 41reported
HNW clients: 110reported
Pension plan clients: 2reported
Charitable clients: 11reported
Accounts: 604reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUMreported
Class basis: private_client_share=0.93 fund_share=0.0 institutional_share=0.02 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
A•••••••• B•••• W•••••••••Certified Financial Planner	Los Angeles, Ca	Apr 25, 2017	13 y	0
A••••• R••••• W•••••••••	Los Angeles, Ca	Jun 27, 2019	13 y	0
C••••• S•••••• E••••••	Los Angeles, Ca	Apr 5, 2022	35 y	2

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

C••••• S•••••• E•••••• from H•••••• R••••• K•
Apr 5, 2022 · Other

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

W••••••••• A••••••••• B•••• · President, Chief Compliance Officer & Trusteecontrol
since 08/2017 · owns 75% or more
W••••••••• A•••••• R••••• · Trusteecontrol
since 11/2018 · owns 75% or more

Entity owners

A• • A• W••••••••• F••••• R•••••••• T•••• · Shareholder
direct · 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
Los Angeles, Ca · principal	3	0	0

Offices

Schedule D 1.F, the 25 largest

, 1 employees

What changed

consecutive filings, newest first

Accounts · 566 to 604
May 1, 2025 to Mar 20, 2026
Charity clients · 9 to 11
May 1, 2025 to Mar 20, 2026
Corporate clients · 5 to 12
May 1, 2025 to Mar 20, 2026
HNW clients · 97 to 110
May 1, 2025 to Mar 20, 2026
Individual clients · 33 to 41
May 1, 2025 to Mar 20, 2026
Discretionary RAUM · $444M to $504M
May 1, 2025 to Mar 20, 2026
HNW RAUM · $386M to $446M
May 1, 2025 to Mar 20, 2026
Individual RAUM · $22.6M to $24.6M
May 1, 2025 to Mar 20, 2026
Pension RAUM · $21.9M to $8.9M
May 1, 2025 to Mar 20, 2026
RAUM · $444M to $504M
May 1, 2025 to Mar 20, 2026
Accounts · 519 to 566
Dec 20, 2024 to May 1, 2025
Charity clients · 3 to 9
Dec 20, 2024 to May 1, 2025
Corporate clients · 6 to 5
Dec 20, 2024 to May 1, 2025
HNW clients · 83 to 97
Dec 20, 2024 to May 1, 2025
Individual clients · 40 to 33
Dec 20, 2024 to May 1, 2025
Financial planning clients · unset to
Dec 20, 2024 to May 1, 2025
Other offices · 1 to 2
Dec 20, 2024 to May 1, 2025
Discretionary RAUM · $360M to $444M
Dec 20, 2024 to May 1, 2025
HNW RAUM · $305M to $386M
Dec 20, 2024 to May 1, 2025
Individual RAUM · $25.7M to $22.6M
Dec 20, 2024 to May 1, 2025
Pension RAUM · $18.8M to $21.9M
Dec 20, 2024 to May 1, 2025
RAUM · $360M to $444M
Dec 20, 2024 to May 1, 2025
Other offices · 0 to 1
May 14, 2024 to Dec 20, 2024
Accounts · 446 to 519
Jan 4, 2024 to Mar 22, 2024
Advisory employees · 4 to 3
Jan 4, 2024 to Mar 22, 2024
Advisory activities · 2 to 3
Jan 4, 2024 to Mar 22, 2024
Charity clients · 2 to 3
Jan 4, 2024 to Mar 22, 2024
Corporate clients · 0 to 6
Jan 4, 2024 to Mar 22, 2024
HNW clients · 67 to 83
Jan 4, 2024 to Mar 22, 2024
Individual clients · 38 to 40
Jan 4, 2024 to Mar 22, 2024
Employees · 4 to 3
Jan 4, 2024 to Mar 22, 2024
State-registered IARs · 4 to 3
Jan 4, 2024 to Mar 22, 2024
Discretionary RAUM · $294M to $360M
Jan 4, 2024 to Mar 22, 2024
HNW RAUM · $252M to $305M
Jan 4, 2024 to Mar 22, 2024
Individual RAUM · $24.4M to $25.7M
Jan 4, 2024 to Mar 22, 2024
Pension RAUM · $17.4M to $18.8M
Jan 4, 2024 to Mar 22, 2024
RAUM · $294M to $360M
Jan 4, 2024 to Mar 22, 2024
Financial planning clients · 51-100 to unset
Mar 16, 2023 to Jan 4, 2024
Accounts · 351 to 446
Feb 25, 2022 to Mar 16, 2023
Charity clients · 3 to 2
Feb 25, 2022 to Mar 16, 2023

Signals

4 dated events

••• Locked
Mar 22, 2024 · Control person joined · fact
••• Locked
Feb 25, 2022 · Control person left · inference
••• Locked
Feb 25, 2022 · Control person left · inference
••• Locked
Apr 5, 2018 · First SEC registration · 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

Business email: ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
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 20, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 20, 2026
Contact form: ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
Team page: ••• Lockedreportedpublished 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: $168Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026