DFX Intelligence

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L•••••• • A••••••••• I••••••••• C••••••

Independent wealth managerSEC-registered· Long Beach, Californiawebsite

Independent wealth manager, based in Long Beach, California, reporting $244M of regulatory assets across 2 registered advisors.

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

As of 2025-12-08 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $244M
Advisors: 2
Net advisor flow, 12 months: 0
RAUM change, 1 year: +13%
Private clients: 84%

See where advisers went See teams that moved

Advisors (2)Where the RAUM sits

As of 2025-12-08 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 8 Dec 2025, RAUM $217M to $244M (+12.7%) on the Form ADV filed 8 Dec 2025, while advisors on the filing rose 2 to 2.

Every filed figure, and the identifiersCRD 110376 · SEC 801-26228 · 22 filingsShow

CRD 110376SEC 801-26228First filing on the tape Dec 16, 2011, latest Dec 8, 2025SEC status approved since Feb 13, 1986IAPD

RAUM

$244M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

84%

$206M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$122M

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 +0.1% a year over three years · the tape starts Dec 16, 2011

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

RAUM$244M as of Dec 8, 2025

Dec 16, 2011$102M then

HNW client RAUM$191M as of Dec 8, 2025

Dec 18, 2017$143M then

State-registered IARs (5.B.3)2 as of Dec 8, 2025

Dec 16, 20110 then

Employees (5.A)3 as of Dec 8, 2025

Dec 14, 20123 then

Private funds: no history

RAUM +13% over the last fiscal year+0.1% a year over threeIARs 2 to 2

Practice profile

derived from the filing of Dec 8, 2025; 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

RAUM per advisor: $122MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 67derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.2MderivedHNW RAUM over HNW clients
Average account: $1.8MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 16%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.5derivedItem 5.A over advisors
Advisors per office: 2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +12%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: -4.3%derived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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

78% high-net-worth individuals, 16% charitable organizations, and 1 other client type

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

High-net-worth individuals$191M78%
Charitable organizations$38.4M16%
Individuals$15.3M6.3%

Individual clients: 45reported
HNW clients: 88reported
Pension plan clients: n/areported
Charitable clients: 4reported
Accounts: 137reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUMreported
Class basis: private_client_share=0.84 fund_share=0.0 institutional_share=0.16 related_bd=false related_bank=false bd_reps=0.0derived

Advisor movement

0 left over 36 months

0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount

Left, latest

none on the tape

Joined, latest

none on the tape

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
R•••••• A•••• L••••••	Long Beach, Ca	Aug 31, 2025	40 y	0
D•••• W••• B••••Chartered Financial Analyst	Long Beach, Ca	Aug 31, 2025	34 y	0

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

L••••••• R••••••• A•••• · Cio, Ceo, Chmcontrol
since 01/1986 · owns 75% or more
B••••• D••••• W••• · Chief Compliance Officer
since 04/2004 · owns less than 5%
B••••• B••••• C••••••••• · Operations Administrator
since 04/2013 · owns less than 5%

Entity owners

R•• H••••••• · Holding Company
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
Long Beach, Ca · principal	2	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 146 to 137
Aug 11, 2025 to Dec 8, 2025
HNW clients · 92 to 88
Aug 11, 2025 to Dec 8, 2025
Individual clients · 50 to 45
Aug 11, 2025 to Dec 8, 2025
Discretionary RAUM · $243M to $244M
Aug 11, 2025 to Dec 8, 2025
HNW RAUM · $190M to $191M
Aug 11, 2025 to Dec 8, 2025

Full history · 80 changes

Individual RAUM · $16.2M to $15.3M
Aug 11, 2025 to Dec 8, 2025
RAUM · $243M to $244M
Aug 11, 2025 to Dec 8, 2025
Accounts · 71 to 146
Dec 9, 2024 to Aug 11, 2025
HNW clients · 36 to 92
Dec 9, 2024 to Aug 11, 2025
Individual clients · 31 to 50
Dec 9, 2024 to Aug 11, 2025
Financial planning clients · 0 to 0
Dec 9, 2024 to Aug 11, 2025
Accounts · 74 to 71
Dec 11, 2023 to Dec 9, 2024
HNW clients · 44 to 36
Dec 11, 2023 to Dec 9, 2024
Individual clients · 26 to 31
Dec 11, 2023 to Dec 9, 2024
Discretionary RAUM · $217M to $243M
Dec 11, 2023 to Dec 9, 2024
HNW RAUM · $172M to $190M
Dec 11, 2023 to Dec 9, 2024
Individual RAUM · $12.0M to $16.2M
Dec 11, 2023 to Dec 9, 2024
RAUM · $217M to $243M
Dec 11, 2023 to Dec 9, 2024
Accounts · 78 to 74
Dec 12, 2022 to Dec 11, 2023
Charity clients · 5 to 4
Dec 12, 2022 to Dec 11, 2023
Individual clients · 29 to 26
Dec 12, 2022 to Dec 11, 2023
Discretionary RAUM · $202M to $217M
Dec 12, 2022 to Dec 11, 2023
HNW RAUM · $157M to $172M
Dec 12, 2022 to Dec 11, 2023
Individual RAUM · $9.9M to $12.0M
Dec 12, 2022 to Dec 11, 2023
RAUM · $202M to $217M
Dec 12, 2022 to Dec 11, 2023
Accounts · 81 to 78
Dec 13, 2021 to Dec 12, 2022
HNW clients · 48 to 44
Dec 13, 2021 to Dec 12, 2022
Individual clients · 28 to 29
Dec 13, 2021 to Dec 12, 2022
Discretionary RAUM · $244M to $202M
Dec 13, 2021 to Dec 12, 2022
HNW RAUM · $192M to $157M
Dec 13, 2021 to Dec 12, 2022
Individual RAUM · $11.1M to $9.9M
Dec 13, 2021 to Dec 12, 2022
RAUM · $244M to $202M
Dec 13, 2021 to Dec 12, 2022
Discretionary RAUM · $206M to $244M
Dec 14, 2020 to Dec 13, 2021
HNW RAUM · $160M to $192M
Dec 14, 2020 to Dec 13, 2021
Individual RAUM · $10.8M to $11.1M
Dec 14, 2020 to Dec 13, 2021
RAUM · $206M to $244M
Dec 14, 2020 to Dec 13, 2021
Accounts · 80 to 81
May 7, 2020 to Dec 14, 2020
HNW clients · 49 to 48
May 7, 2020 to Dec 14, 2020
Individual clients · 26 to 28
May 7, 2020 to Dec 14, 2020
Discretionary RAUM · $200M to $206M
May 7, 2020 to Dec 14, 2020
HNW RAUM · $156M to $160M
May 7, 2020 to Dec 14, 2020
Individual RAUM · $9.5M to $10.8M
May 7, 2020 to Dec 14, 2020
RAUM · $200M to $206M
May 7, 2020 to Dec 14, 2020
Accounts · 74 to 80
Dec 17, 2018 to Dec 16, 2019
HNW clients · 44 to 49
Dec 17, 2018 to Dec 16, 2019
Individual clients · 25 to 26
Dec 17, 2018 to Dec 16, 2019
Discretionary RAUM · $187M to $200M
Dec 17, 2018 to Dec 16, 2019
HNW RAUM · $144M to $156M
Dec 17, 2018 to Dec 16, 2019
Individual RAUM · $10.4M to $9.5M
Dec 17, 2018 to Dec 16, 2019
RAUM · $187M to $200M
Dec 17, 2018 to Dec 16, 2019
Charity clients · 6 to 5
Dec 18, 2017 to Dec 17, 2018
HNW clients · 41 to 44
Dec 18, 2017 to Dec 17, 2018
Individual clients · 27 to 25
Dec 18, 2017 to Dec 17, 2018
Discretionary RAUM · $192M to $187M
Dec 18, 2017 to Dec 17, 2018
HNW RAUM · $143M to $144M
Dec 18, 2017 to Dec 17, 2018
Individual RAUM · $11.5M to $10.4M
Dec 18, 2017 to Dec 17, 2018
RAUM · $192M to $187M
Dec 18, 2017 to Dec 17, 2018
Accounts · 70 to 74
Dec 20, 2016 to Dec 18, 2017
Charity clients · unset to 6.0
Dec 20, 2016 to Dec 18, 2017
HNW clients · unset to 41.0
Dec 20, 2016 to Dec 18, 2017
Individual clients · unset to 27.0
Dec 20, 2016 to Dec 18, 2017
Other offices · unset to 0.0
Dec 20, 2016 to Dec 18, 2017
Discretionary RAUM · $175M to $192M
Dec 20, 2016 to Dec 18, 2017
HNW RAUM · unset to 143258343.0
Dec 20, 2016 to Dec 18, 2017
Individual RAUM · unset to 11548658.0
Dec 20, 2016 to Dec 18, 2017
RAUM · $175M to $192M
Dec 20, 2016 to Dec 18, 2017
Accounts · 72 to 70
Dec 15, 2015 to Dec 20, 2016
Discretionary RAUM · $171M to $175M
Dec 15, 2015 to Dec 20, 2016
RAUM · $171M to $175M
Dec 15, 2015 to Dec 20, 2016
Accounts · 73 to 72
Dec 15, 2014 to Dec 15, 2015
Discretionary RAUM · $176M to $171M
Dec 15, 2014 to Dec 15, 2015
RAUM · $176M to $171M
Dec 15, 2014 to Dec 15, 2015
Accounts · 65 to 73
Sep 25, 2014 to Dec 15, 2014
Discretionary RAUM · $162M to $176M
Sep 25, 2014 to Dec 15, 2014
RAUM · $162M to $176M
Sep 25, 2014 to Dec 15, 2014
Accounts · 57 to 65
Dec 14, 2012 to Dec 13, 2013
Discretionary RAUM · $130M to $162M
Dec 14, 2012 to Dec 13, 2013
RAUM · $130M to $162M
Dec 14, 2012 to Dec 13, 2013
Accounts · 56 to 57
Jan 5, 2012 to Dec 14, 2012
Advisory employees · unset to 2.0
Jan 5, 2012 to Dec 14, 2012

Signals

2 dated events

••• Locked
Dec 8, 2025 · ria indirect owner change · fact
••• Locked
Dec 8, 2025 · ria ownership band change · 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 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, Dec 8, 2025
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Dec 8, 2025
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: $122Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026