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C•••• W••••• M••••••••• L••

Independent wealth managerSEC-registered· Irvine, Californiawebsite

Independent wealth manager, based in Irvine, California, reporting $137M of regulatory assets across 2 registered advisors.

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

Regulatory AUM
$137M
Form ADV
Advisors
2
IAPD
Net advisor flow, 12 months
0
0 joined, 0 left
IAPD registration history
RAUM change, 1 year
+18%
Form ADV, consecutive annual filings
Private clients
96%
of RAUM, $131M
Form ADV
See where advisers wentSee teams that moved
More
Advisors (2)Where the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 2 Feb 2026, RAUM $116M to $137M (+18.2%) on the Form ADV filed 2 Feb 2026, while advisors on the filing held at 2.

Every filed figure, and the identifiersCRD 127309 · SEC 801-132264 · 6 filingsShow
CRD 127309SEC 801-132264First filing on the tape Jan 17, 2012, latest Feb 2, 2026SEC status approved since Apr 1, 2025IAPD
RAUM
$137M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
96%
$131M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$68.4M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape

RAUM +18% over the last fiscal year · the tape starts Jan 17, 2012

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$137M as of Feb 2, 2026
Jan 17, 2012$35.8M then
HNW client RAUM$105M as of Feb 2, 2026
Feb 25, 2025$87.4M then
State-registered IARs (5.B.3)2 as of Feb 2, 2026
Jan 17, 20120 then
Employees (5.A)3 as of Feb 2, 2026
Feb 25, 20253 then
Private funds: no history
RAUM +18% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Feb 2, 2026; every figure names its basis
Archetypes
The rule behind each archetype, and every derived figure3 rulesShow
  • HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
  • 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, and at most 25 employees (Item 5.A)
RAUM per advisor
$68.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
57derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.4MderivedHNW RAUM over HNW clients
Average account
$451,655derivedRAUM over accounts (5.F.2.f)
Discretionary
97%derivedof RAUM
Institutional
2.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 office incl. principal (1.F.5)
RAUM growth, one year
+18%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+4.6%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Custody
$33.9M, 41 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

77% high-net-worth individuals, 19% individuals, and 3 other client types

The breakdown by client type, and the client counts5 client typesShow
  • High-net-worth individuals$105M77%
  • Individuals$26.0M19%
  • Corporations and businesses$2.2M1.6%
  • Pension and profit-sharing plans$1.8M1.3%
  • Charitable organizations$1.6M1.2%
Individual clients
70reported
HNW clients
44reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
303reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
$33.9M for 41 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
RAUM: 96% private clients, 0% pooled funds, 3% 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
    Every departureEvery arrival
    Advisors registered through the firm
    2 on IAPD today; the longest tenured first
    NameBranchHere sinceIn industryPrior firms
    J••• T••••• C••••Certified Financial PlannerIrvine, CaSep 2, 200332 y2
    J••••••• A••• C••••Certified Financial PlannerIrvine, CaJan 18, 201712 y0
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • C••••• J•••• T••••• · Chief Compliance Officer, Sole Member, Presidentcontrol
      since 06/2003 · owns 75% or more
    Related persons
    Schedule D 7.A
    • J••• T• C••••
      real estatey
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Irvine, Ca · principal200
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 292 to 303
      Jun 16, 2025 to Feb 2, 2026
    • HNW clients · 39 to 44
      Jun 16, 2025 to Feb 2, 2026
    • Assets in custody · $33.6M to $33.9M
      Jun 16, 2025 to Feb 2, 2026
    • Discretionary RAUM · $112M to $133M
      Jun 16, 2025 to Feb 2, 2026
    • HNW RAUM · $87.4M to $105M
      Jun 16, 2025 to Feb 2, 2026
    Full history · 29 changes
    • Individual RAUM · $23.4M to $26.0M
      Jun 16, 2025 to Feb 2, 2026
    • Non-discretionary RAUM · $3.7M to $4.3M
      Jun 16, 2025 to Feb 2, 2026
    • Pension RAUM · $1.8M to $1.8M
      Jun 16, 2025 to Feb 2, 2026
    • RAUM · $116M to $137M
      Jun 16, 2025 to Feb 2, 2026
    • Financial planning clients · 11-25 to 11-25
      Feb 25, 2025 to Jun 16, 2025
    • Accounts · 119 to 292
      Feb 22, 2012 to Feb 25, 2025
    • Advisory employees · unset to 2.0
      Feb 22, 2012 to Feb 25, 2025
    • Advisory activities · 4 to 2
      Feb 22, 2012 to Feb 25, 2025
    • HNW clients · unset to 39.0
      Feb 22, 2012 to Feb 25, 2025
    • Individual clients · unset to 70.0
      Feb 22, 2012 to Feb 25, 2025
    • Assets in custody · unset to 33645283.0
      Feb 22, 2012 to Feb 25, 2025
    • Custody of client assets · false to true
      Feb 22, 2012 to Feb 25, 2025
    • Employees · unset to 3.0
      Feb 22, 2012 to Feb 25, 2025
    • Financial planning clients · 1-10 to 11-25
      Feb 22, 2012 to Feb 25, 2025
    • HQ city · NEWPORT BEACH to IRVINE
      Feb 22, 2012 to Feb 25, 2025
    • State-registered IARs · 0 to 2
      Feb 22, 2012 to Feb 25, 2025
    • Other offices · unset to 0.0
      Feb 22, 2012 to Feb 25, 2025
    • Discretionary RAUM · $23.9M to $112M
      Feb 22, 2012 to Feb 25, 2025
    • HNW RAUM · unset to 87387987.0
      Feb 22, 2012 to Feb 25, 2025
    • Individual RAUM · unset to 23358422.0
      Feb 22, 2012 to Feb 25, 2025
    • Non-discretionary RAUM · $11.9M to $3.7M
      Feb 22, 2012 to Feb 25, 2025
    • Pension RAUM · unset to 1764377.0
      Feb 22, 2012 to Feb 25, 2025
    • RAUM · $35.8M to $116M
      Feb 22, 2012 to Feb 25, 2025
    • Advisory activities · 3 to 4
      Jan 19, 2012 to Feb 22, 2012
    Signals
    3 dated events
    • ••• Locked
      Feb 2, 2026 · ria principal change · fact
    • ••• Locked
      Feb 2, 2026 · Control person joined · fact
    • ••• Locked
      Feb 25, 2025 · ria hq relocated · 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 17, 2026
    Business phone
    ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
    Website
    ••• Lockedreportedpublic record, Form ADV, Feb 2, 2026
    Principal office phone
    ••• Lockedreportedpublic record, Form ADV, Feb 2, 2026
    Contact form
    ••• Lockedreportedpublished by the firm, firm site, Sep 24, 2026
    Contact form
    ••• Lockedreportedpublished by the firm, firm site, Sep 17, 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
    $68.4Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026