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.

SEC-registered adviser

Confidence Wealth Management, Inc.

Independent wealth managerLos Angeles, CaliforniaCRD 127383SEC 801-122368websiteIAPD
Latest filing Mar 31, 2026
First filing on the tape Aug 24, 2021 · 28 filings
SEC status approved since Sep 27, 2021
RAUM
$454M
reported, Item 5.F
Discretionary
85%
of RAUM
Private clients
99%
$451M individuals and HNW
Advisors
9
registered through the firm on IAPD
RAUM per advisor
$50.5M
derived; firm RAUM over IAPD count
Employees
19
8 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$454M as of Mar 31, 2026
Mar 29, 2022$169M then
HNW client RAUM$300M as of Mar 31, 2026
Mar 29, 2022$121M then
State-registered IARs (5.B.3)8 as of Mar 31, 2026
Mar 29, 20229 then
Employees (5.A)19 as of Mar 31, 2026
Mar 29, 202220 then
Private funds: no history
RAUM +32% over the last fiscal year+32% a year over threeIARs 11 to 8
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
  • 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
  • Planning-led practice · financial planning activity (5.G.1), at least 100 financial planning clients (5.H), and hourly, fixed or subscription compensation (5.E)
RAUM per advisor
$50.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
82derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.6MderivedHNW RAUM over HNW clients
Average account
$174,975derivedRAUM over accounts (5.F.2.f)
Discretionary
85%derivedof RAUM
Institutional
0.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.1derivedItem 5.A over advisors
Advisors per office
4.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+32%derivedbetween the last two annual amendments
Advisor growth, one year
-27%derivedItem 5.B.3 between annual amendments
Client growth, one year
+8.9%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
Financial planning clients
500reportedItem 5.H
Custody
$342M, 589 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
  • is an insurance broker or agent (6.A.6)
  • 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)
  • marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$300M66%
  • Individuals$152M33%
  • Pension and profit-sharing plans$2.8M0.6%
  • Charitable organizations$45,4000.0%
Individual clients
546reported
HNW clients
191reported
Pension plan clients
4reported
Charitable clients
2reported
Accounts
2,595reported
Financial planning clients
500reported
Wrap fee programs
noreported
Custody of client assets
$342M for 589 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
9 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Silvia Bora ChiLos Angeles, Ca May 1, 201518 y0
Brian William GilroyCertified Financial PlannerLos Angeles, Ca Oct 22, 202414 y2
Yim Ming NgLos Angeles, Ca Jan 1, 202612 y0
Crystal OculeeLos Angeles, CaJan 1, 202620 y0
James Anderson EgerstromCertified Financial PlannerTorrance, CaJan 1, 202613 y3
David Christopher LauritzenLos Angeles, Ca Jan 1, 202618 y2
Christopher Thomas KrugChartered Financial AnalystRobinsville, Nj Jan 1, 202610 y1
Sergio Barajas TorresLos Angeles, Ca Jan 1, 202611 y0
Rem OculeeLos Angeles, Ca Jan 1, 202635 y1
Advisor movement
1 left, 3 joined in 12 months
net +2 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 11% of current headcount8 left over 36 months
Left, latest
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Rem Oculee · Ceocontrol
    since 07/2002 · owns 75% or more
  • Mathew Joseph Patneaude · Chief Compliance Officer
    since 05/2022 · owns less than 5%
Related persons
Schedule D 7.A
  • Confidence Life Insurance Solutions, LLC
    real estaten
  • Confidence Wealth & Insurance Solutions LLC (Formerly Parson Latimer & Judge Financial And Insurance Solutions, LLC)
    real estaten
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Los Angeles, Ca · principal861
Torrance, Ca220
Canton, Mi000
Dallas, Tx000
Puyallup, Wa000
Superior, Co000
Offices
Schedule D 1.F, the 25 largest
  • Los Angeles, CA5 employees
  • Torrance, CA5 employees
  • , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
  • HNW share shiftChange between filings · filing Mar 31, 2026
    HNW share of RAUM moved from 49.0% to 66.0% between the annual amendments of 2025-04-21 and 2026-03-31
    peers: independent wealth managers, $100M to $500M (5,676)
How anomalies are measured
What changed
consecutive filings, newest first
  • Accounts · 1,843 to 2,595
    May 28, 2025 to Mar 31, 2026
  • Advisory employees · 12 to 8
    May 28, 2025 to Mar 31, 2026
  • Charity clients · 0 to 2
    May 28, 2025 to Mar 31, 2026
  • HNW clients · 98 to 191
    May 28, 2025 to Mar 31, 2026
  • Individual clients · 579 to 546
    May 28, 2025 to Mar 31, 2026
  • Assets in custody · $220M to $342M
    May 28, 2025 to Mar 31, 2026
  • Employees · 15 to 19
    May 28, 2025 to Mar 31, 2026
  • Financial planning clients · 251-500 to More than 500
    May 28, 2025 to Mar 31, 2026
  • State-registered IARs · 11 to 8
    May 28, 2025 to Mar 31, 2026
  • Discretionary RAUM · $343M to $384M
    May 28, 2025 to Mar 31, 2026
  • HNW RAUM · $167M to $300M
    May 28, 2025 to Mar 31, 2026
  • Individual RAUM · $174M to $152M
    May 28, 2025 to Mar 31, 2026
  • Non-discretionary RAUM · $1.2M to $69.7M
    May 28, 2025 to Mar 31, 2026
  • Pension RAUM · $3.5M to $2.8M
    May 28, 2025 to Mar 31, 2026
  • RAUM · $344M to $454M
    May 28, 2025 to Mar 31, 2026
  • Financial planning clients · 251-500 to 251-500
    Apr 21, 2025 to May 28, 2025
  • Accounts · 1,820 to 1,843
    Feb 6, 2025 to Apr 21, 2025
  • Advisory employees · 11 to 12
    Feb 6, 2025 to Apr 21, 2025
  • Business name · CONFIDENCE WEALTH MANAGEMENT, LLC to CONFIDENCE WEALTH MANAGEMENT, INC.
    Feb 6, 2025 to Apr 21, 2025
  • HNW clients · 311 to 98
    Feb 6, 2025 to Apr 21, 2025
  • Individual clients · 338 to 579
    Feb 6, 2025 to Apr 21, 2025
  • Assets in custody · $35.0M to $220M
    Feb 6, 2025 to Apr 21, 2025
  • Employees · 23 to 15
    Feb 6, 2025 to Apr 21, 2025
  • HQ city · HENDERSON to LOS ANGELES
    Feb 6, 2025 to Apr 21, 2025
  • HQ state · NV to CA
    Feb 6, 2025 to Apr 21, 2025
  • Legal name · CONFIDENCE WEALTH MANAGEMENT, LLC to CONFIDENCE WEALTH MANAGEMENT, INC.
    Feb 6, 2025 to Apr 21, 2025
  • Other offices · 3 to 1
    Feb 6, 2025 to Apr 21, 2025
  • Organization form · Limited Liability Company to Corporation
    Feb 6, 2025 to Apr 21, 2025
  • Discretionary RAUM · $264M to $343M
    Feb 6, 2025 to Apr 21, 2025
  • HNW RAUM · $210M to $167M
    Feb 6, 2025 to Apr 21, 2025
  • Individual RAUM · $54.5M to $174M
    Feb 6, 2025 to Apr 21, 2025
  • Non-discretionary RAUM · $3.3M to $1.2M
    Feb 6, 2025 to Apr 21, 2025
  • Pension RAUM · $2.8M to $3.5M
    Feb 6, 2025 to Apr 21, 2025
  • RAUM · $267M to $344M
    Feb 6, 2025 to Apr 21, 2025
  • Accounts · 1,566 to 1,820
    Oct 17, 2023 to Mar 28, 2024
  • Advisory employees · 10 to 11
    Oct 17, 2023 to Mar 28, 2024
  • HNW clients · 248 to 311
    Oct 17, 2023 to Mar 28, 2024
  • Individual clients · 327 to 338
    Oct 17, 2023 to Mar 28, 2024
  • Pension plan clients · 2 to 4
    Oct 17, 2023 to Mar 28, 2024
  • Assets in custody · $6.1M to $35.0M
    Oct 17, 2023 to Mar 28, 2024
Signals
16 dated events
  • Confidence Wealth Management, Inc. reported RAUM $454.1M, up 32% from $344.2M (2025-05-28 to 2026-03-31)
    Mar 31, 2026 · RAUM change · derived
  • Daniel Fallon Tafoya left Confidence Wealth Management, Inc. for Vanguard Advisers, Inc. (registered 2025-12-11)
    Oct 21, 2025 · Advisor changed firm · fact
  • Jared Michael Kersten left Confidence Wealth Management, Inc. for Cetera Investment Advisers Llc (registered 2025-05-21)
    May 19, 2025 · Advisor changed firm · fact
  • Eric Kalmikoff left Confidence Wealth Management, Inc. for Edelman Financial Engines (registered 2025-05-14)
    Feb 26, 2025 · Advisor changed firm · fact
  • Matthew Craigle left Confidence Wealth Management, Inc. for Alloy Investment Management (registered 2025-02-11)
    Feb 26, 2025 · Advisor changed firm · fact
  • Frederic Young Hoon Han left Confidence Wealth Management, Inc. for Wealth Enhancement Advisory Services, Llc (registered 2026-08-31)
    Jan 28, 2025 · Advisor changed firm · fact
  • Ryan F Kiernan left Confidence Wealth Management, Inc. for Farther (registered 2025-09-02)
    Dec 24, 2024 · Advisor changed firm · fact
  • Sean Alexander Hummel left Confidence Wealth Management, Inc. for Xypn Sapphire (registered 2025-10-22)
    Dec 16, 2024 · Advisor changed firm · fact
  • Kyle John Soscia left Confidence Wealth Management, Inc. for Foundations Investment Advisors Llc (registered 2024-05-30)
    May 6, 2024 · Advisor changed firm · fact
  • Darci Colleen Zaunmiller left Confidence Wealth Management, Inc. for Ellevest (registered 2023-08-28)
    Jul 28, 2023 · Advisor changed firm · fact
  • Richard D Boyd left Confidence Wealth Management, Inc. for Pfg Advisors (registered 2023-10-10)
    Apr 19, 2023 · Advisor changed firm · fact
  • Wenwen Dong left Confidence Wealth Management, Inc. for Empirical Wealth Management (registered 2022-09-30)
    Aug 31, 2022 · Advisor changed firm · fact
  • Nickolas Ryan Minard left Confidence Wealth Management, Inc. for Root Financial Partners (registered 2025-08-20)
    Aug 24, 2022 · Advisor changed firm · fact
  • Daniel Vazquez left Confidence Wealth Management, Inc. for Missionsquare Retirement (registered 2023-07-25)
    Jun 7, 2022 · Advisor changed firm · fact
  • Michael Robert Peterson left Confidence Wealth Management, Inc. for Osaic Fa, Inc. (registered 2024-02-20)
    Apr 20, 2022 · Advisor changed firm · fact
  • Confidence Wealth Management, Llc filed its initial SEC registration (Form ADV)
    Aug 24, 2021 · 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
Business phone
310-820-4411reportedpublished by the firm, firm site, Sep 15, 2026
Business phone
310-824-1000reportedpublished by the firm, firm site, Sep 15, 2026
Firm profile
linkedin.com/company/confidence-wealth/mycompanyreportedpublic record, Form ADV, Sep 17, 2026
Website
icwm.comreportedpublic record, Form ADV, Sep 17, 2026
Principal office phone
310-824-1000reportedpublic record, Form ADV, Mar 31, 2026
Team page
icwm.com/who-we-are/meet-teamreportedpublished 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
$50.5Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026