DFX Intelligence
RIA Intelligence
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SEC-registered adviser
A••••••• F•••••••• S••••••••• I••
Latest filing Mar 31, 2026
First filing on the tape Nov 15, 2011 · 25 filings
SEC status approved since Aug 4, 2000
RAUM
$252M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$247M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$62.9M
derived; firm RAUM over IAPD count
Employees
6
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$252M as of Mar 31, 2026
Mar 30, 2012$95.3M then
HNW client RAUM$236M as of Mar 31, 2026
Mar 29, 2018$123M then
State-registered IARs (5.B.3)4 as of Mar 31, 2026
Mar 30, 20120 then
Employees (5.A)6 as of Mar 31, 2026
Mar 28, 20134 then
Private funds: no history
RAUM +4.2% over the last fiscal year+5.9% a year over threeIARs 3 to 4
Practice profile
derived from the filing of Mar 31, 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
- $62.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 34derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $648,835derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +4.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.4%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, otherreportedItem 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$236M94%
- Individuals$10.4M4.1%
- Corporations and businesses$3.0M1.2%
- Pension and profit-sharing plans$2.2M0.9%
- Individual clients
- 48reported
- HNW clients
- 89reported
- Pension plan clients
- 8reported
- Charitable clients
- n/areported
- Accounts
- 388reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P••••• N••• N••Certified Financial Planner | Irvine, Ca | Apr 1, 2019 | 40 y | 0 |
| J••••••• V•• N•••••Certified Financial Planner | Irvine, Ca | Jan 6, 2025 | 22 y | 0 |
| P••••••• V••••••Certified Financial Planner | Irvine, Ca | Jan 6, 2025 | 15 y | 0 |
| C•••••• H•• S•••••• | Irvine, Ca | Sep 17, 2025 | 13 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
- N••• P•••••• N••• · President And Chief Compliance Officercontrolsince 03/1997 · 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 |
|---|---|---|---|---|---|
| Irvine, Ca · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 404 to 388Mar 31, 2025 to Mar 31, 2026
- Advisory employees · 4 to 6Mar 31, 2025 to Mar 31, 2026
- HNW clients · 92 to 89Mar 31, 2025 to Mar 31, 2026
- Individual clients · 47 to 48Mar 31, 2025 to Mar 31, 2026
- Pension plan clients · 7 to 8Mar 31, 2025 to Mar 31, 2026
- Financial planning clients · 1-10 to 101-250Mar 31, 2025 to Mar 31, 2026
- State-registered IARs · 3 to 4Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $241M to $251MMar 31, 2025 to Mar 31, 2026
- HNW RAUM · $230M to $236MMar 31, 2025 to Mar 31, 2026
- Individual RAUM · $9.2M to $10.4MMar 31, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $508,157 to $521,924Mar 31, 2025 to Mar 31, 2026
- Pension RAUM · $2.1M to $2.2MMar 31, 2025 to Mar 31, 2026
- RAUM · $242M to $252MMar 31, 2025 to Mar 31, 2026
- Accounts · 410 to 404Apr 22, 2024 to Mar 31, 2025
- HNW clients · 89 to 92Apr 22, 2024 to Mar 31, 2025
- Individual clients · 52 to 47Apr 22, 2024 to Mar 31, 2025
- Pension plan clients · 5 to 7Apr 22, 2024 to Mar 31, 2025
- Financial planning clients · 1-10 to 1-10Apr 22, 2024 to Mar 31, 2025
- Discretionary RAUM · $229M to $241MApr 22, 2024 to Mar 31, 2025
- HNW RAUM · $219M to $230MApr 22, 2024 to Mar 31, 2025
- Individual RAUM · $8.4M to $9.2MApr 22, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $856,984 to $508,157Apr 22, 2024 to Mar 31, 2025
- Pension RAUM · $1.8M to $2.1MApr 22, 2024 to Mar 31, 2025
- RAUM · $230M to $242MApr 22, 2024 to Mar 31, 2025
- Accounts · 406 to 410Oct 3, 2023 to Mar 28, 2024
- HNW clients · 88 to 89Oct 3, 2023 to Mar 28, 2024
- Individual clients · 57 to 52Oct 3, 2023 to Mar 28, 2024
- Pension plan clients · unset to 5.0Oct 3, 2023 to Mar 28, 2024
- Discretionary RAUM · $211M to $229MOct 3, 2023 to Mar 28, 2024
- HNW RAUM · $199M to $219MOct 3, 2023 to Mar 28, 2024
- Individual RAUM · $11.5M to $8.4MOct 3, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $813,903 to $856,984Oct 3, 2023 to Mar 28, 2024
- Pension RAUM · $1.5M to $1.8MOct 3, 2023 to Mar 28, 2024
- RAUM · $212M to $230MOct 3, 2023 to Mar 28, 2024
- Accounts · 432 to 406May 4, 2022 to Mar 30, 2023
- Advisory employees · 3 to 4May 4, 2022 to Mar 30, 2023
- HNW clients · 90 to 88May 4, 2022 to Mar 30, 2023
- Individual clients · 62 to 57May 4, 2022 to Mar 30, 2023
- Pension plan clients · 5.0 to unsetMay 4, 2022 to Mar 30, 2023
- Discretionary RAUM · $223M to $211MMay 4, 2022 to Mar 30, 2023
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
- Website
- w••.a•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 949-502-5333reportedpublic record, Form ADV, Mar 31, 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
- $62.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026