DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
T••• C•••••• M••••••••• L••
Independent wealth manager, based in Orange, California, reporting $241M of regulatory assets across 2 registered advisors.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $241M
- Advisors
- 2
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- +4.3%
- Private clients
- 98% of RAUM, $235M
Form ADV
IAPD
IAPD registration history
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- Contact points 2
Every filed figure, and the identifiersCRD 129959 · SEC 801-62650 · 27 filingsShowHide
CRD 129959SEC 801-62650First filing on the tape Feb 22, 2012, latest Mar 26, 2026SEC status approved since Jan 5, 2004IAPD
RAUM
$241M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$235M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$121M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$241M as of Mar 26, 2026
Feb 22, 2012$160M then
HNW client RAUM$190M as of Mar 26, 2026
Mar 23, 2018$85.3M then
State-registered IARs (5.B.3)2 as of Mar 26, 2026
Feb 22, 20120 then
Employees (5.A)3 as of Mar 26, 2026
Mar 26, 20134 then
Private funds: no history
RAUM +4.3% over the last fiscal year+9.8% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 26, 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
- RAUM per advisor
- $121MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 112derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $338,331derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 0.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +4.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.3%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Custody
- $147,294, 2 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
- High-net-worth individuals$190M79%
- Individuals$44.7M19%
- Pension and profit-sharing plans$5.7M2.4%
- Corporations and businesses$305,8770.1%
- Individual clients
- 133reported
- HNW clients
- 90reported
- Pension plan clients
- 11reported
- Charitable clients
- 0reported
- Accounts
- 713reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $147,294 for 2 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S••••• W••• M••••••Certified Financial Planner | Orange, Ca | Apr 23, 2004 | 23 y | 0 |
| R••••• M••••• K•••••••• | Orange, Ca | Apr 23, 2004 | 44 y | 2 |
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
- R••••• M••••• K•••••••• from W•••• F•••• A•••••••Apr 23, 2004 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- K••••••••• R•••••• M••••• · Managing Membercontrolsince 12/2003 · owns 50% to 75%
- M••••••• S•••••• W••• · Member / Chief Compliance Officercontrolsince 12/2003 · owns 25% to 50%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Orange, Ca · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 699 to 713Mar 7, 2025 to Mar 26, 2026
- HNW clients · 82 to 90Mar 7, 2025 to Mar 26, 2026
- Individual clients · 144 to 133Mar 7, 2025 to Mar 26, 2026
- Pension plan clients · 12 to 11Mar 7, 2025 to Mar 26, 2026
- Assets in custody · $256,138 to $147,294Mar 7, 2025 to Mar 26, 2026
- Employees · 4 to 3Mar 7, 2025 to Mar 26, 2026
- Discretionary RAUM · $231M to $241MMar 7, 2025 to Mar 26, 2026
- HNW RAUM · $168M to $190MMar 7, 2025 to Mar 26, 2026
- Individual RAUM · $56.8M to $44.7MMar 7, 2025 to Mar 26, 2026
- Pension RAUM · $5.8M to $5.7MMar 7, 2025 to Mar 26, 2026
- RAUM · $231M to $241MMar 7, 2025 to Mar 26, 2026
- Accounts · 655 to 699Oct 7, 2024 to Mar 7, 2025
- HNW clients · 73 to 82Oct 7, 2024 to Mar 7, 2025
- Individual clients · 148 to 144Oct 7, 2024 to Mar 7, 2025
- Pension plan clients · 13 to 12Oct 7, 2024 to Mar 7, 2025
- Assets in custody · $362,542 to $256,138Oct 7, 2024 to Mar 7, 2025
- Financial planning clients · 101-250 to 101-250Oct 7, 2024 to Mar 7, 2025
- Discretionary RAUM · $203M to $231MOct 7, 2024 to Mar 7, 2025
- HNW RAUM · $142M to $168MOct 7, 2024 to Mar 7, 2025
- Individual RAUM · $55.0M to $56.8MOct 7, 2024 to Mar 7, 2025
- Pension RAUM · $5.7M to $5.8MOct 7, 2024 to Mar 7, 2025
- RAUM · $203M to $231MOct 7, 2024 to Mar 7, 2025
- Accounts · 626 to 655Jan 9, 2024 to Mar 20, 2024
- HNW clients · 68 to 73Jan 9, 2024 to Mar 20, 2024
- Individual clients · 156 to 148Jan 9, 2024 to Mar 20, 2024
- Pension plan clients · 14 to 13Jan 9, 2024 to Mar 20, 2024
- Assets in custody · $27,132 to $362,542Jan 9, 2024 to Mar 20, 2024
- Other offices · 0 to 2Jan 9, 2024 to Mar 20, 2024
- Discretionary RAUM · $182M to $203MJan 9, 2024 to Mar 20, 2024
- HNW RAUM · $124M to $142MJan 9, 2024 to Mar 20, 2024
- Individual RAUM · $51.8M to $55.0MJan 9, 2024 to Mar 20, 2024
- Pension RAUM · $6.3M to $5.7MJan 9, 2024 to Mar 20, 2024
- RAUM · $182M to $203MJan 9, 2024 to Mar 20, 2024
- Accounts · 590 to 626Mar 29, 2022 to Mar 22, 2023
- Charity clients · unset to 0.0Mar 29, 2022 to Mar 22, 2023
- Corporate clients · unset to 1.0Mar 29, 2022 to Mar 22, 2023
- HNW clients · 70 to 68Mar 29, 2022 to Mar 22, 2023
- Individual clients · 152 to 156Mar 29, 2022 to Mar 22, 2023
- Pension plan clients · 7 to 14Mar 29, 2022 to Mar 22, 2023
- Pooled vehicle clients · unset to 0.0Mar 29, 2022 to Mar 22, 2023
Signals
No event on the tape.
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
- Website
- ••• Lockedreportedpublic record, Form ADV, Mar 26, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Mar 26, 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
- $121Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026