DFX Intelligence

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SEC-registered adviser

R••••• L• B•••••• I••• D•• R••••• B••••• • A•••••••••

Independent wealth managerPasadena, CaliforniaCRD 109766SEC 801-14216website IAPD

Latest filing Feb 10, 2026

First filing on the tape Mar 29, 2012 · 22 filings

SEC status approved since Dec 1, 1978

RAUM

$511M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

99%

$504M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$255M

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

22 filings and snapshots on the tape

RAUM$511M as of Feb 10, 2026

Mar 29, 2012$132M then

HNW client RAUM$466M as of Feb 10, 2026

Mar 21, 2019$139M then

State-registered IARs (5.B.3)1 as of Feb 10, 2026

Mar 27, 20130 then

Employees (5.A)5 as of Feb 10, 2026

Mar 27, 20136 then

Private funds: no history

RAUM +18% over the last fiscal year+22% a year over threeIARs 0 to 1

Practice profile

derived from the filing of Feb 10, 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: $255MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 171derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.1MderivedHNW RAUM over HNW clients
Average account: $1.5MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 1.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 2.5derivedItem 5.A over advisors
Advisors per office: 2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +18%derivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: -1.4%derived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: portfolio management for individualsreportedItem 5.G
Wrap fee program: participatesreportedItem 5.I
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)
compensates persons for client referrals (8.G.1)
compensates non-employees for client referrals (8.G.2)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$466M91%
Individuals$37.6M7.4%
Charitable organizations$7.2M1.4%

Individual clients: 121reported
HNW clients: 220reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 344reported
Financial planning clients: 0reported
Wrap fee programs: $0 sponsored, $23.1M managedreported
Custody of client assets: noreported
Compensation: % of AUMreported
Class basis: private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived

Advisors registered through the firm

2 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
J•••• R••••• P••••••	Pasadena, Ca	Jun 3, 2025	13 y	0
R••• G•••• B•••••	Pasadena, Ca	Jul 28, 2025	29 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

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

B•••••• R•••••• L•••• · Chief Executive Officercontrol
since 06/1978 · owns 75% or more
B•••••• R•••• G•••• · President, Secretary
since 11/2014 · owns less than 5%
E•••••• C••••••••• M•••• · Chief Compliance Officer
since 10/2004 · owns less than 5%

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
Pasadena, Ca · principal	2	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 349 to 344
May 16, 2025 to Feb 10, 2026
Advisory employees · 3 to 2
May 16, 2025 to Feb 10, 2026
HNW clients · 228 to 220
May 16, 2025 to Feb 10, 2026
Individual clients · 118 to 121
May 16, 2025 to Feb 10, 2026
Employees · 6 to 5
May 16, 2025 to Feb 10, 2026
Discretionary RAUM · $433M to $511M
May 16, 2025 to Feb 10, 2026
HNW RAUM · $390M to $466M
May 16, 2025 to Feb 10, 2026
Individual RAUM · $34.3M to $37.6M
May 16, 2025 to Feb 10, 2026
Pension RAUM · 1597681.0 to unset
May 16, 2025 to Feb 10, 2026
RAUM · $433M to $511M
May 16, 2025 to Feb 10, 2026
Charity clients · 3.0 to unset
Mar 21, 2025 to May 16, 2025
Corporate clients · 0.0 to unset
Mar 21, 2025 to May 16, 2025
Pension plan clients · 1.0 to unset
Mar 21, 2025 to May 16, 2025
Pooled vehicle clients · 0.0 to unset
Mar 21, 2025 to May 16, 2025
Financial planning clients · 251-500 to 0
Mar 21, 2025 to May 16, 2025
State-registered IARs · 0 to 1
Mar 21, 2025 to May 16, 2025
Accounts · 351 to 349
Mar 26, 2024 to Mar 21, 2025
HNW clients · 0 to 228
Mar 26, 2024 to Mar 21, 2025
Individual clients · 347 to 118
Mar 26, 2024 to Mar 21, 2025
Discretionary RAUM · $410M to $433M
Mar 26, 2024 to Mar 21, 2025
HNW RAUM · unset to 389782401.0
Mar 26, 2024 to Mar 21, 2025
Individual RAUM · $404M to $34.3M
Mar 26, 2024 to Mar 21, 2025
Pension RAUM · $1.3M to $1.6M
Mar 26, 2024 to Mar 21, 2025
RAUM · $410M to $433M
Mar 26, 2024 to Mar 21, 2025
Wrap assets (manager) · $18.1M to $23.1M
Mar 26, 2024 to Mar 21, 2025
Accounts · 348 to 351
Mar 28, 2023 to Mar 26, 2024
Charity clients · 1 to 3
Mar 28, 2023 to Mar 26, 2024
Individual clients · 346 to 347
Mar 28, 2023 to Mar 26, 2024
Financial planning clients · 0 to 251-500
Mar 28, 2023 to Mar 26, 2024
Discretionary RAUM · $281M to $410M
Mar 28, 2023 to Mar 26, 2024
Individual RAUM · $280M to $404M
Mar 28, 2023 to Mar 26, 2024
Pension RAUM · $825,030 to $1.3M
Mar 28, 2023 to Mar 26, 2024
RAUM · $281M to $410M
Mar 28, 2023 to Mar 26, 2024
Wrap assets (manager) · $12.4M to $18.1M
Mar 28, 2023 to Mar 26, 2024
Accounts · 345 to 348
Mar 29, 2022 to Mar 28, 2023
Charity clients · 3 to 1
Mar 29, 2022 to Mar 28, 2023
Individual clients · 340 to 346
Mar 29, 2022 to Mar 28, 2023
Pension plan clients · 2 to 1
Mar 29, 2022 to Mar 28, 2023
Discretionary RAUM · $331M to $281M
Mar 29, 2022 to Mar 28, 2023
Individual RAUM · $325M to $280M
Mar 29, 2022 to Mar 28, 2023

Signals

2 dated events

R••••• L• B•••••• I••• D•• R••••• B••••• • A••••••••• reported RAUM $409.7M, up 46% from $280.7M (2023-03-28 to 2024-03-26)
Mar 26, 2024 · RAUM change · derived
R••••• L• B•••••• I••• D•• R••••• B••••• • A••••••••• reported RAUM $332.7M, up 53% from $217.8M (2020-06-25 to 2021-03-30)
Mar 30, 2021 · RAUM change · derived

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 phone: 626-397-9072reportedpublished by the firm, firm site, Sep 16, 2026
Business phone: 626-397-9090reportedpublished by the firm, firm site, Sep 16, 2026
Website: R•••••B•••••.COMreportedpublic record, Form ADV, Feb 10, 2026
Principal office phone: 626-397-9072reportedpublic record, Form ADV, Feb 10, 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: $255Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026