DFX Intelligence

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M••• I•••

Independent wealth managerSEC-registered

Independent wealth manager, reporting $182M of regulatory assets across 1 registered advisors.

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

As of 2026-08-06 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $182M
Advisors: 1
Net advisor flow, 12 months: 0
RAUM change, 1 year: +14%
Private clients: 100%

See where advisers went See teams that moved

Advisors (1)Where the RAUM sits

As of 2026-08-06 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

+13.9%
RAUM, one year
RAUM $159M to $182M (+13.9%) on the Form ADV filed 6 Aug 2026, while advisors on the filing held at 1.
The one filed measure of whether clients are staying.
FactForm ADV Item 5History →

Every filed figure, and the identifiersCRD 111227 · SEC 801-124836 · 22 filingsShow

CRD 111227SEC 801-124836First filing on the tape Jan 11, 2012, latest Aug 6, 2026SEC status approved since May 3, 2022IAPD

RAUM

$182M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$182M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$182M

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

22 filings and snapshots on the tape

RAUM +13% a year over three years · the tape starts Jan 11, 2012

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

RAUM$182M as of Aug 6, 2026

Jan 11, 2012$90.4M then

HNW client RAUM$164M as of Aug 6, 2026

Feb 20, 2023$109M then

State-registered IARs (5.B.3)1 as of Aug 6, 2026

Jan 11, 20120 then

Employees (5.A)2 as of Aug 6, 2026

Mar 6, 20131 then

Private funds: no history

RAUM +14% over the last fiscal year+13% a year over threeIARs 1 to 1

Practice profile

derived from the filing of Aug 6, 2026; every figure names its basis

Archetypes

Solo or small team

The rule behind each archetype, and every derived figure1 ruleShow

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: $182MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 73derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $3.9MderivedHNW RAUM over HNW clients
Average account: $683,092derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 2.0derivedItem 5.A over advisors
Advisors per office: 1.0derived1 office incl. principal (1.F.5)
RAUM growth, one year: +14%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: -2.7%derived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: portfolio management for individualsreportedItem 5.G
Custody: $121M, 48 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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

90% high-net-worth individuals, 9.8% individuals

The breakdown by client type, and the client counts2 client typesShow

High-net-worth individuals$164M90%
Individuals$17.7M9.8%

Individual clients: 31reported
HNW clients: 42reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 266reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: $121M for 48 clientsreported
Compensation: % of AUMreported
Class basis: RAUM: 100% private clients, 0% pooled funds, 0% 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

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

1 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry	Prior firms
M•••••• D•••••••Certified Financial Planner	Irvine, Ca	Jul 12, 2004	26 y	0

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

D•••••••• M•••••• · President/Owner/Chief Compliance Officercontrol
since 03/2001 · owns 75% or more

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 278 to 266
Apr 1, 2025 to Feb 6, 2026
HNW clients · 36 to 42
Apr 1, 2025 to Feb 6, 2026
Individual clients · 39 to 31
Apr 1, 2025 to Feb 6, 2026
Assets in custody · $76.8M to $121M
Apr 1, 2025 to Feb 6, 2026
Employees · 1 to 2
Apr 1, 2025 to Feb 6, 2026

Full history · 73 changes

Discretionary RAUM · $159M to $182M
Apr 1, 2025 to Feb 6, 2026
HNW RAUM · $136M to $164M
Apr 1, 2025 to Feb 6, 2026
Individual RAUM · $23.6M to $17.7M
Apr 1, 2025 to Feb 6, 2026
RAUM · $159M to $182M
Apr 1, 2025 to Feb 6, 2026
Financial planning clients · unset to
Feb 24, 2025 to Apr 1, 2025
Accounts · 282 to 278
Nov 20, 2024 to Feb 24, 2025
HNW clients · 40 to 36
Nov 20, 2024 to Feb 24, 2025
Individual clients · 37 to 39
Nov 20, 2024 to Feb 24, 2025
Assets in custody · $63.7M to $76.8M
Nov 20, 2024 to Feb 24, 2025
HQ city · unset to
Nov 20, 2024 to Feb 24, 2025
HQ state · unset to
Nov 20, 2024 to Feb 24, 2025
Discretionary RAUM · $136M to $159M
Nov 20, 2024 to Feb 24, 2025
HNW RAUM · $116M to $136M
Nov 20, 2024 to Feb 24, 2025
Individual RAUM · $20.2M to $23.6M
Nov 20, 2024 to Feb 24, 2025
RAUM · $136M to $159M
Nov 20, 2024 to Feb 24, 2025
Accounts · 283 to 282
Oct 24, 2023 to Feb 8, 2024
HNW clients · 42 to 40
Oct 24, 2023 to Feb 8, 2024
Individual clients · 36 to 37
Oct 24, 2023 to Feb 8, 2024
Assets in custody · $45.9M to $63.7M
Oct 24, 2023 to Feb 8, 2024
Employees · 2 to 1
Oct 24, 2023 to Feb 8, 2024
Discretionary RAUM · $127M to $136M
Oct 24, 2023 to Feb 8, 2024
HNW RAUM · $109M to $116M
Oct 24, 2023 to Feb 8, 2024
Individual RAUM · $17.1M to $20.2M
Oct 24, 2023 to Feb 8, 2024
RAUM · $127M to $136M
Oct 24, 2023 to Feb 8, 2024
Accounts · 281 to 283
Oct 11, 2022 to Feb 20, 2023
HNW clients · 45 to 42
Oct 11, 2022 to Feb 20, 2023
Individual clients · 32 to 36
Oct 11, 2022 to Feb 20, 2023
Assets in custody · $41.0M to $45.9M
Oct 11, 2022 to Feb 20, 2023
Discretionary RAUM · $132M to $127M
Oct 11, 2022 to Feb 20, 2023
HNW RAUM · $117M to $109M
Oct 11, 2022 to Feb 20, 2023
Individual RAUM · $14.8M to $17.1M
Oct 11, 2022 to Feb 20, 2023
RAUM · $132M to $127M
Oct 11, 2022 to Feb 20, 2023
Accounts · 286 to 281
Jun 9, 2016 to Mar 30, 2022
HNW clients · unset to 45.0
Jun 9, 2016 to Mar 30, 2022
Individual clients · unset to 32.0
Jun 9, 2016 to Mar 30, 2022
Assets in custody · unset to 41032706.0
Jun 9, 2016 to Mar 30, 2022
Custody of client assets · false to true
Jun 9, 2016 to Mar 30, 2022
Other offices · unset to 0.0
Jun 9, 2016 to Mar 30, 2022
Discretionary RAUM · $78.1M to $132M
Jun 9, 2016 to Mar 30, 2022
HNW RAUM · unset to 116887110.0
Jun 9, 2016 to Mar 30, 2022
Individual RAUM · unset to 14765535.0
Jun 9, 2016 to Mar 30, 2022
RAUM · $78.1M to $132M
Jun 9, 2016 to Mar 30, 2022
Accounts · 325 to 286
May 25, 2016 to Jun 8, 2016
Advisory activities · 2 to 1
May 25, 2016 to Jun 8, 2016
Discretionary RAUM · $78.0M to $78.1M
May 25, 2016 to Jun 8, 2016
Non-discretionary RAUM · $11.0M to $0
May 25, 2016 to Jun 8, 2016
RAUM · $89.0M to $78.1M
May 25, 2016 to Jun 8, 2016
Advisory activities · 1 to 2
Apr 28, 2016 to May 25, 2016
Accounts · 350 to 325
Feb 18, 2015 to Mar 17, 2016
Discretionary RAUM · $88.6M to $78.0M
Feb 18, 2015 to Mar 17, 2016
Non-discretionary RAUM · $10.1M to $11.0M
Feb 18, 2015 to Mar 17, 2016
RAUM · $98.6M to $89.0M
Feb 18, 2015 to Mar 17, 2016
Accounts · 388 to 350
Nov 3, 2014 to Feb 18, 2015
Discretionary RAUM · $87.7M to $88.6M
Nov 3, 2014 to Feb 18, 2015
Non-discretionary RAUM · $11.0M to $10.1M
Nov 3, 2014 to Feb 18, 2015
RAUM · $98.8M to $98.6M
Nov 3, 2014 to Feb 18, 2015
Accounts · 380 to 388
Mar 6, 2013 to Mar 4, 2014
Employees · 1 to 2
Mar 6, 2013 to Mar 4, 2014
Discretionary RAUM · $91.9M to $87.7M
Mar 6, 2013 to Mar 4, 2014
Non-discretionary RAUM · $9.0M to $11.0M
Mar 6, 2013 to Mar 4, 2014
RAUM · $101M to $98.8M
Mar 6, 2013 to Mar 4, 2014
Accounts · 391 to 380
Jan 11, 2012 to Mar 6, 2013
Advisory employees · unset to 1.0
Jan 11, 2012 to Mar 6, 2013
Employees · unset to 1.0
Jan 11, 2012 to Mar 6, 2013
State-registered IARs · 0 to 1
Jan 11, 2012 to Mar 6, 2013
Discretionary RAUM · $80.8M to $91.9M
Jan 11, 2012 to Mar 6, 2013
Non-discretionary RAUM · $9.6M to $9.0M
Jan 11, 2012 to Mar 6, 2013
RAUM · $90.4M to $101M
Jan 11, 2012 to Mar 6, 2013

Signals

1 dated events

••• Locked
Mar 30, 2022 · 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

Principal office phone: ••• Lockedreportedpublic record, Form ADV, Aug 6, 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: $182Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026