DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
B•••• C•••• A•• C••••••
Legal name C••••• B•••• T••
Latest filing Apr 30, 2026
First filing on the tape Mar 31, 2012 · 13 filings
SEC status approved since Jul 30, 2020
RAUM
$229M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$229M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$229M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$229M as of Apr 30, 2026
Mar 31, 2012$55.1M then
HNW client RAUM$226M as of Apr 30, 2026
Mar 4, 2021$135M then
State-registered IARs (5.B.3)1 as of Apr 30, 2026
Mar 31, 20120 then
Employees (5.A)1 as of Apr 30, 2026
Mar 4, 20211 then
Private funds: no history
RAUM +5.8% over the last fiscal year+5.1% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Apr 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $229MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $8.1MderivedHNW RAUM over HNW clients
- Average account
- $1.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +5.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 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)
- 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$226M99%
- Individuals$2.1M0.9%
- Individual clients
- n/areported
- HNW clients
- 28reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 158reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••• T•• C••••Certified Financial Planner | Rancho Palos Verdes, Ca | Mar 1, 2017 | 38 y | 1 |
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
- C••••• B••••• T•• · Sole Proprietor/Chief Compliance Officercontrolsince 08/1997 · 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.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Apr 30, 2026discretionary share of RAUM of 0% against a peer median of 100% (5678 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: independent wealth managers, $100M to $500M (5,678) · 0.0% percentile
- unusually large average HNW clientStatic outlier · filing Apr 30, 2026HNW RAUM per HNW client of $8,087,197 against a peer median of $2,402,920 (4942 comparable advisers, 99.0th percentile, 3.8 robust deviations)peers: independent wealth managers, $100M to $500M (4,942) · 99% percentile
What changed
consecutive filings, newest first
- Accounts · 154 to 158Feb 25, 2025 to Apr 30, 2026
- Individual clients · 7.0 to unsetFeb 25, 2025 to Apr 30, 2026
- HNW RAUM · $213M to $226MFeb 25, 2025 to Apr 30, 2026
- Individual RAUM · $2.8M to $2.1MFeb 25, 2025 to Apr 30, 2026
- Non-discretionary RAUM · $216M to $229MFeb 25, 2025 to Apr 30, 2026
- RAUM · $216M to $229MFeb 25, 2025 to Apr 30, 2026
- Accounts · 145 to 154Mar 15, 2024 to Feb 25, 2025
- HNW clients · 29 to 28Mar 15, 2024 to Feb 25, 2025
- Financial planning clients · 26-50 to 26-50Mar 15, 2024 to Feb 25, 2025
- HQ city · unset to Mar 15, 2024 to Feb 25, 2025
- HQ state · unset to Mar 15, 2024 to Feb 25, 2025
- HNW RAUM · $211M to $213MMar 15, 2024 to Feb 25, 2025
- Individual RAUM · $633,883 to $2.8MMar 15, 2024 to Feb 25, 2025
- Non-discretionary RAUM · $212M to $216MMar 15, 2024 to Feb 25, 2025
- RAUM · $212M to $216MMar 15, 2024 to Feb 25, 2025
- Accounts · 135 to 145Mar 17, 2023 to Mar 12, 2024
- HNW clients · 28 to 29Mar 17, 2023 to Mar 12, 2024
- Individual clients · 8 to 7Mar 17, 2023 to Mar 12, 2024
- HNW RAUM · $195M to $211MMar 17, 2023 to Mar 12, 2024
- Individual RAUM · $1.7M to $633,883Mar 17, 2023 to Mar 12, 2024
- Non-discretionary RAUM · $197M to $212MMar 17, 2023 to Mar 12, 2024
- RAUM · $197M to $212MMar 17, 2023 to Mar 12, 2024
- Accounts · 132 to 135Feb 24, 2022 to Mar 17, 2023
- HNW clients · 24 to 28Feb 24, 2022 to Mar 17, 2023
- Individual clients · 9 to 8Feb 24, 2022 to Mar 17, 2023
- HNW RAUM · $219M to $195MFeb 24, 2022 to Mar 17, 2023
- Individual RAUM · $2.9M to $1.7MFeb 24, 2022 to Mar 17, 2023
- Non-discretionary RAUM · $222M to $197MFeb 24, 2022 to Mar 17, 2023
- RAUM · $222M to $197MFeb 24, 2022 to Mar 17, 2023
- Non-discretionary RAUM · $138M to $222MMar 4, 2021 to Feb 24, 2022
- RAUM · $138M to $222MMar 4, 2021 to Feb 24, 2022
- Accounts · 120 to 132Mar 4, 2021 to Feb 24, 2022
- HNW clients · 21 to 24Mar 4, 2021 to Feb 24, 2022
- HNW RAUM · $135M to $219MMar 4, 2021 to Feb 24, 2022
- Individual RAUM · $3.5M to $2.9MMar 4, 2021 to Feb 24, 2022
- Accounts · 116 to 120Dec 16, 2020 to Mar 4, 2021
- HNW clients · 19 to 21Dec 16, 2020 to Mar 4, 2021
- Individual clients · 8 to 9Dec 16, 2020 to Mar 4, 2021
- HNW RAUM · $138M to $135MDec 16, 2020 to Mar 4, 2021
- Individual RAUM · $2.5M to $3.5MDec 16, 2020 to Mar 4, 2021
Signals
1 dated events
- B•••• C•••• A•• C•••••• filed its initial SEC registration (Form ADV)Jun 30, 2020 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- B•••• C•••• a•• C•••••• · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Business phone
- 310-378-4355reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- C••••WM.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 310-378-4355reportedpublic record, Form ADV, Apr 30, 2026
- Contact form
- c••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $229Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026