DFX Intelligence

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D••••• A•••• M••••••••• L•••••

Independent wealth managerSEC-registered· Los Angeles, Californiawebsite

Independent wealth manager, based in Los Angeles, California, reporting $186M of regulatory assets across 2 registered advisors.

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

As of 2026-03-30 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $186M
Advisors: 2
Net advisor flow, 12 months: 0
RAUM change, 1 year: +13%
Private clients: 99%

See where advisers went See teams that moved

Advisors (2)Where the RAUM sits

As of 2026-03-30 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

+13.1%
RAUM, one year
RAUM $164M to $186M (+13.1%) on the Form ADV filed 30 Mar 2026.
The one filed measure of whether clients are staying.
FactForm ADV Item 5History →

Every filed figure, and the identifiersCRD 106434 · SEC 801-43726 · 23 filingsShow

CRD 106434SEC 801-43726First filing on the tape Mar 26, 2012, latest Mar 30, 2026SEC status approved since Apr 9, 1993IAPD

RAUM

$186M

reported, Item 5.F

Discretionary

93%

of RAUM

Private clients

99%

$185M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$92.8M

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

23 filings and snapshots on the tape

RAUM +20% a year over three years · the tape starts Mar 26, 2012

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

RAUM$186M as of Mar 30, 2026

Mar 26, 2012$222M then

HNW client RAUM$179M as of Mar 30, 2026

Mar 27, 2018$197M then

State-registered IARs (5.B.3)0 as of Mar 30, 2026

Mar 26, 20120 then

Employees (5.A)3 as of Mar 30, 2026

Mar 26, 20139 then

Private funds: no history

RAUM +13% over the last fiscal year+20% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 30, 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: $92.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 24derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $5.4MderivedHNW RAUM over HNW clients
Average account: $2.3MderivedRAUM over accounts (5.F.2.f)
Discretionary: 93%derivedof RAUM
Institutional: 0.5%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: +13%derivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: +2.2%derived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Custody: $32.2M, 4 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)
a related person has custody of client cash (9.B.1.a)
a related person has custody of client securities (9.B.1.b)

Where the RAUM sits

Form ADV Item 5.D, latest filing

96% high-net-worth individuals, 3.2% individuals, and 1 other client type

The breakdown by client type, and the client counts3 client typesShow

High-net-worth individuals$179M96%
Individuals$5.9M3.2%
Charitable organizations$947,5890.5%

Individual clients: 14reported
HNW clients: 33reported
Pension plan clients: 0reported
Charitable clients: 1reported
Accounts: 81reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: $32.2M for 4 clientsreported
Compensation: % of AUMreported
Class basis: RAUM: 99% private clients, 0% pooled funds, 1% 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

Where they went: the top destinations among the 1 most recent departures on the tape

S•••••••• A••••••• L••1 advisor

Left, latest

L•••• L•••• D••••• to S•••••••• A••••••• L••
Jul 9, 2010 · Other

Joined, latest

S••• P•••••• O••••• from C•••••••• C•••••• M•••••••••
Jan 1, 2025 · Other
J•••• G•••••• M••••• from M•••• C••••••• L••
Jan 1, 2025 · Other

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
J•••• G•••••• M•••••	Los Angeles, Ca	Jan 1, 2025	15 y	1
S••• P•••••• O•••••Chartered Financial Analyst	Los Angeles, Ca	Jan 1, 2025	29 y	1

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

O•••••• S•••• P•••••• · Managing Member/Chief Compliance Officercontrol
since 12/2022 · owns 75% or more
D••••• I••• W•••••• · Member
since 12/2022 · owns 25% to 50%

Related persons

Schedule D 7.A

C•••••••• C•••••• M•••••••••
investment advisern

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
Los Angeles, Ca · principal	2	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 79 to 81
Feb 11, 2025 to Mar 30, 2026
HNW clients · 32 to 33
Feb 11, 2025 to Mar 30, 2026
Pension plan clients · 1 to 0
Feb 11, 2025 to Mar 30, 2026
Assets in custody · $28.2M to $32.2M
Feb 11, 2025 to Mar 30, 2026
Discretionary RAUM · $154M to $172M
Feb 11, 2025 to Mar 30, 2026

Full history · 80 changes

HNW RAUM · $158M to $179M
Feb 11, 2025 to Mar 30, 2026
Individual RAUM · $4.1M to $5.9M
Feb 11, 2025 to Mar 30, 2026
Non-discretionary RAUM · $10.1M to $13.7M
Feb 11, 2025 to Mar 30, 2026
Pension RAUM · $718,597 to $0
Feb 11, 2025 to Mar 30, 2026
RAUM · $164M to $186M
Feb 11, 2025 to Mar 30, 2026
Accounts · 80 to 79
Dec 26, 2024 to Feb 11, 2025
Charity clients · 0 to 1
Dec 26, 2024 to Feb 11, 2025
HNW clients · 52 to 32
Dec 26, 2024 to Feb 11, 2025
Individual clients · 28 to 14
Dec 26, 2024 to Feb 11, 2025
Pension plan clients · 0 to 1
Dec 26, 2024 to Feb 11, 2025
Assets in custody · $23.3M to $28.2M
Dec 26, 2024 to Feb 11, 2025
Employees · 2 to 3
Dec 26, 2024 to Feb 11, 2025
Financial planning clients · unset to
Dec 26, 2024 to Feb 11, 2025
Discretionary RAUM · $138M to $154M
Dec 26, 2024 to Feb 11, 2025
HNW RAUM · $139M to $158M
Dec 26, 2024 to Feb 11, 2025
Individual RAUM · $6.2M to $4.1M
Dec 26, 2024 to Feb 11, 2025
Non-discretionary RAUM · $7.1M to $10.1M
Dec 26, 2024 to Feb 11, 2025
Pension RAUM · $0 to $718,597
Dec 26, 2024 to Feb 11, 2025
RAUM · $145M to $164M
Dec 26, 2024 to Feb 11, 2025
Related adviser · true to false
Dec 26, 2024 to Feb 11, 2025
Advisory employees · 3 to 2
Feb 28, 2024 to Dec 26, 2024
Employees · 3 to 2
Feb 28, 2024 to Dec 26, 2024
State-registered IARs · 1 to 0
Feb 28, 2024 to Dec 26, 2024
Accounts · 44 to 80
Dec 7, 2023 to Feb 28, 2024
Charity clients · 3 to 0
Dec 7, 2023 to Feb 28, 2024
HNW clients · 22 to 52
Dec 7, 2023 to Feb 28, 2024
Individual clients · 19 to 28
Dec 7, 2023 to Feb 28, 2024
Assets in custody · $21.2M to $23.3M
Dec 7, 2023 to Feb 28, 2024
Financial planning clients · 0 to unset
Dec 7, 2023 to Feb 28, 2024
Discretionary RAUM · $107M to $138M
Dec 7, 2023 to Feb 28, 2024
HNW RAUM · $96.0M to $139M
Dec 7, 2023 to Feb 28, 2024
Individual RAUM · $10.7M to $6.2M
Dec 7, 2023 to Feb 28, 2024
Non-discretionary RAUM · $0 to $7.1M
Dec 7, 2023 to Feb 28, 2024
RAUM · $107M to $145M
Dec 7, 2023 to Feb 28, 2024
Advisory employees · 2 to 3
Nov 3, 2023 to Dec 7, 2023
Employees · 2 to 3
Nov 3, 2023 to Dec 7, 2023
State-registered IARs · 0 to 1
Nov 3, 2023 to Dec 7, 2023
Related adviser · false to true
Mar 27, 2023 to May 1, 2023
Accounts · 66 to 44
Mar 29, 2022 to Mar 27, 2023
Advisory employees · 3 to 2
Mar 29, 2022 to Mar 27, 2023
HNW clients · 38 to 22
Mar 29, 2022 to Mar 27, 2023
Individual clients · 25 to 19
Mar 29, 2022 to Mar 27, 2023
Assets in custody · $22.2M to $21.2M
Mar 29, 2022 to Mar 27, 2023
Employees · 4 to 2
Mar 29, 2022 to Mar 27, 2023
Discretionary RAUM · $140M to $107M
Mar 29, 2022 to Mar 27, 2023
HNW RAUM · $125M to $96.0M
Mar 29, 2022 to Mar 27, 2023
Individual RAUM · $14.0M to $10.7M
Mar 29, 2022 to Mar 27, 2023
RAUM · $140M to $107M
Mar 29, 2022 to Mar 27, 2023
Accounts · 117 to 66
Mar 31, 2021 to Mar 29, 2022
Charity clients · 4 to 3
Mar 31, 2021 to Mar 29, 2022
HNW clients · 84 to 38
Mar 31, 2021 to Mar 29, 2022
Individual clients · 27 to 25
Mar 31, 2021 to Mar 29, 2022
Pension plan clients · 2 to 0
Mar 31, 2021 to Mar 29, 2022
Assets in custody · $18.7M to $22.2M
Mar 31, 2021 to Mar 29, 2022
Discretionary RAUM · $174M to $140M
Mar 31, 2021 to Mar 29, 2022
HNW RAUM · $165M to $125M
Mar 31, 2021 to Mar 29, 2022
Individual RAUM · $6.2M to $14.0M
Mar 31, 2021 to Mar 29, 2022
Pension RAUM · $445,696 to $0
Mar 31, 2021 to Mar 29, 2022
RAUM · $174M to $140M
Mar 31, 2021 to Mar 29, 2022
Accounts · 132 to 117
Oct 19, 2020 to Mar 31, 2021
Charity clients · 5 to 4
Oct 19, 2020 to Mar 31, 2021
HNW clients · 109 to 84
Oct 19, 2020 to Mar 31, 2021
Individual clients · 18 to 27
Oct 19, 2020 to Mar 31, 2021
Pension plan clients · 0 to 2
Oct 19, 2020 to Mar 31, 2021
Assets in custody · $16.0M to $18.7M
Oct 19, 2020 to Mar 31, 2021
Employees · 6 to 4
Oct 19, 2020 to Mar 31, 2021
Discretionary RAUM · $156M to $174M
Oct 19, 2020 to Mar 31, 2021
HNW RAUM · $148M to $165M
Oct 19, 2020 to Mar 31, 2021
Individual RAUM · $5.8M to $6.2M
Oct 19, 2020 to Mar 31, 2021
Pension RAUM · $0 to $445,696
Oct 19, 2020 to Mar 31, 2021
RAUM · $156M to $174M
Oct 19, 2020 to Mar 31, 2021
Accounts · 138 to 132
Apr 2, 2019 to Apr 28, 2020
Advisory employees · 4 to 3
Apr 2, 2019 to Apr 28, 2020
Charity clients · 7 to 5
Apr 2, 2019 to Apr 28, 2020
HNW clients · 110 to 109
Apr 2, 2019 to Apr 28, 2020

Signals

2 dated events

••• Locked
Mar 27, 2023 · Control person left · inference
••• Locked
Mar 27, 2023 · Control person joined · 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 24, 2026
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, Mar 30, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 30, 2026
Team page: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 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: $92.8Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026