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SEC-registered adviser

T••• P•••••• W••••• A•••••••

Independent wealth managerSacramento, CaliforniaCRD 120938SEC 801-63712websiteIAPD
Legal name T••• W••••• M•••••••••
Latest filing Apr 24, 2026
First filing on the tape Mar 27, 2012 · 25 filings
SEC status approved since Jan 3, 2005
RAUM
$293M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
74%
$216M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$293M
derived; firm RAUM over IAPD count
Employees
4
3 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$293M as of Apr 24, 2026
Mar 27, 2012$138M then
HNW client RAUM$195M as of Apr 24, 2026
Mar 29, 2018$299M then
State-registered IARs (5.B.3)3 as of Apr 24, 2026
Mar 26, 20132 then
Employees (5.A)4 as of Apr 24, 2026
Mar 26, 20132 then
Private funds: no history
RAUM +1.7% over the last fiscal year+7.9% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Apr 24, 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
$293MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
128derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.7MderivedHNW RAUM over HNW clients
Average account
$740,798derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
9.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
4.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+1.7%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-43%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
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)
  • 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$195M67%
  • Corporations and businesses$48.5M17%
  • Pension and profit-sharing plans$21.5M7.3%
  • Individuals$20.4M7.0%
  • Charitable organizations$7.6M2.6%
Individual clients
56reported
HNW clients
72reported
Pension plan clients
5reported
Charitable clients
2reported
Accounts
396reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
private_client_share=0.74 fund_share=0.0 institutional_share=0.1 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
M•••••• R••••• T•••Personal Financial SpecialistSacramento, CaJan 9, 202526 y1
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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • T•••• M••••••• R••••• · President/Chief Compliance Officercontrol
      since 01/2005 · owns 75% or more
    • T•••• R•••••• L•• · Vice Presidentcontrol
      since 06/1989 · owns 25% to 50%
    Related persons
    Schedule D 7.A
    • T•••• L••
      insurancen
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    ADV anomalies
    2 against comparable advisers; where to look, not conclusions
    • clients down average size upCombination · filing Apr 24, 2026
      private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $288,497,342 to $293,356,007, advisors 3 to 3, private clients 224 to 128, offices 0 to 0 (2025-03-29 to 2026-04-24)
      peers: independent wealth managers, $100M to $500M (5,678)
    • client count collapseChange between filings · filing Apr 24, 2026
      individual and HNW clients (Item 5.D) moved from 224.0 to 128.0 (-43.0%) between the annual amendments of 2025-03-29 and 2026-04-24; the peer median change was +3.0% (3309 comparable advisers, 2.0th percentile of changes)
      peers: independent wealth managers, $100M to $500M (3,309) · 2.4% percentile
    How anomalies are measured
    What changed
    consecutive filings, newest first
    • Accounts · 442 to 396
      Mar 29, 2025 to Mar 27, 2026
    • Advisory activities · 1 to 2
      Mar 29, 2025 to Mar 27, 2026
    • Charity clients · 3 to 2
      Mar 29, 2025 to Mar 27, 2026
    • Corporate clients · 21 to 10
      Mar 29, 2025 to Mar 27, 2026
    • HNW clients · 60 to 72
      Mar 29, 2025 to Mar 27, 2026
    • Individual clients · 164 to 56
      Mar 29, 2025 to Mar 27, 2026
    • Pension plan clients · 17 to 5
      Mar 29, 2025 to Mar 27, 2026
    • Discretionary RAUM · $288M to $293M
      Mar 29, 2025 to Mar 27, 2026
    • HNW RAUM · $160M to $195M
      Mar 29, 2025 to Mar 27, 2026
    • Individual RAUM · $41.2M to $20.4M
      Mar 29, 2025 to Mar 27, 2026
    • Pension RAUM · $22.3M to $21.5M
      Mar 29, 2025 to Mar 27, 2026
    • RAUM · $288M to $293M
      Mar 29, 2025 to Mar 27, 2026
    • Accounts · 527 to 442
      Mar 27, 2024 to Mar 29, 2025
    • Charity clients · 4 to 3
      Mar 27, 2024 to Mar 29, 2025
    • HNW clients · 57 to 60
      Mar 27, 2024 to Mar 29, 2025
    • Individual clients · 144 to 164
      Mar 27, 2024 to Mar 29, 2025
    • Pension plan clients · 16 to 17
      Mar 27, 2024 to Mar 29, 2025
    • Financial planning clients · unset to
      Mar 27, 2024 to Mar 29, 2025
    • Discretionary RAUM · $259M to $288M
      Mar 27, 2024 to Mar 29, 2025
    • HNW RAUM · $153M to $160M
      Mar 27, 2024 to Mar 29, 2025
    • Individual RAUM · $35.8M to $41.2M
      Mar 27, 2024 to Mar 29, 2025
    • Pension RAUM · $19.8M to $22.3M
      Mar 27, 2024 to Mar 29, 2025
    • RAUM · $259M to $288M
      Mar 27, 2024 to Mar 29, 2025
    • Accounts · 418 to 527
      Mar 31, 2023 to Mar 27, 2024
    • Advisory employees · 4 to 3
      Mar 31, 2023 to Mar 27, 2024
    • Charity clients · 3 to 4
      Mar 31, 2023 to Mar 27, 2024
    • Corporate clients · 0 to 21
      Mar 31, 2023 to Mar 27, 2024
    • HNW clients · 51 to 57
      Mar 31, 2023 to Mar 27, 2024
    • Individual clients · 88 to 144
      Mar 31, 2023 to Mar 27, 2024
    • Pension plan clients · 9 to 16
      Mar 31, 2023 to Mar 27, 2024
    • Employees · 5 to 4
      Mar 31, 2023 to Mar 27, 2024
    • State-registered IARs · 4 to 3
      Mar 31, 2023 to Mar 27, 2024
    • Discretionary RAUM · $233M to $259M
      Mar 31, 2023 to Mar 27, 2024
    • HNW RAUM · $126M to $153M
      Mar 31, 2023 to Mar 27, 2024
    • Individual RAUM · $33.1M to $35.8M
      Mar 31, 2023 to Mar 27, 2024
    • Pension RAUM · $23.6M to $19.8M
      Mar 31, 2023 to Mar 27, 2024
    • RAUM · $233M to $259M
      Mar 31, 2023 to Mar 27, 2024
    • Accounts · 363 to 418
      Sep 12, 2022 to Mar 31, 2023
    • Charity clients · 4 to 3
      Sep 12, 2022 to Mar 31, 2023
    • Corporate clients · unset to 0.0
      Sep 12, 2022 to Mar 31, 2023
    Signals
    2 dated events
    • T••• P•••••• W••••• A••••••• reported RAUM $233.3M, down 42% from $399.3M (2022-09-12 to 2023-03-31)
      Mar 31, 2023 · RAUM change · derived
    • T••• P•••••• W••••• A••••••• reported RAUM $399.3M, up 47% from $272.4M (2021-03-29 to 2022-03-29)
      Mar 29, 2022 · 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
    650-666-4660reportedpublished by the firm, firm site, Sep 15, 2026
    Business phone
    916-929-1006reportedpublished by the firm, firm site, Sep 15, 2026
    Website
    t••••••.comreportedpublic record, Form ADV, Sep 21, 2026
    Principal office phone
    (916) 929-1006reportedpublic record, Form ADV, Apr 24, 2026
    Team page
    t••••••.comreportedpublished by the firm, firm site, Sep 15, 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
    $293Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026