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RIA Intelligence
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SEC-registered adviser
M••••••• C•••••• M••••••••• I•••
Latest filing Feb 9, 2026
First filing on the tape Mar 14, 2012 · 20 filings
SEC status approved since Aug 30, 2004
RAUM
$91.9M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
61%
$55.7M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$30.6M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$91.9M as of Feb 9, 2026
Mar 14, 2012$39.1M then
HNW client RAUM$47.4M as of Feb 9, 2026
Mar 2, 2018$21.5M then
State-registered IARs (5.B.3)3 as of Feb 9, 2026
Mar 15, 20132 then
Employees (5.A)3 as of Feb 9, 2026
Mar 15, 20132 then
Private funds1 as of Mar 11, 2016
Mar 14, 20121 then
RAUM +26% over the last fiscal year+11% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Feb 9, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $30.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 21derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $785,742derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 9.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +26%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +21%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companies, pension consultingreportedItem 5.G
- Custody
- $6.1M, 1 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$47.4M52%
- Investment companies$28.0M30%
- Individuals$8.3M9.0%
- Charitable organizations$4.5M4.9%
- Insurance companies$3.8M4.1%
- Individual clients
- 36reported
- HNW clients
- 28reported
- Pension plan clients
- 0reported
- Charitable clients
- 1reported
- Accounts
- 117reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $6.1M for 1 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.61 fund_share=0.3 institutional_share=0.09 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| N•••••• G••••• M•••••••Certified Financial Planner | La Jolla, Ca | Nov 14, 2006 | 21 y | 1 |
| A••••• Q••••• J••••••Chartered Financial Analyst | La Jolla, Ca | Mar 9, 2021 | 35 y | 0 |
| A••••• H•••••• J•••••• | La Jolla, Ca | Jan 30, 2023 | 17 y | 0 |
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
- N•••••• G••••• M••••••• from E•••••••• A•••••••• L••Nov 14, 2006 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| M••••••• P•••••••• L•no longer reported | Hedge Fund | $1.5M | 1 | Mar 14, 2012 |
Owners and control persons
Schedule A and B, latest filing
- J••••••• A•••••• Q••••• · President & Ceocontrolsince 08/2002 · owns 75% or more
- M•••••••• N••••••• G••••• · Chief Operating Officer & Chief Compliance Officercontrolsince 05/2006 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| La Jolla, Ca · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Feb 9, 2026custody of client assets (Item 9.A): no on the filing of 2025-02-14, yes on the filing of 2026-02-09peers: independent wealth managers, under $100M (707)
What changed
consecutive filings, newest first
- Accounts · 98 to 117Feb 14, 2025 to Feb 9, 2026
- HNW clients · 23 to 28Feb 14, 2025 to Feb 9, 2026
- Individual clients · 30 to 36Feb 14, 2025 to Feb 9, 2026
- Assets in custody · unset to 6102577.0Feb 14, 2025 to Feb 9, 2026
- Custody of client assets · false to trueFeb 14, 2025 to Feb 9, 2026
- Financial planning clients · 0 to Feb 14, 2025 to Feb 9, 2026
- Discretionary RAUM · $73.2M to $91.9MFeb 14, 2025 to Feb 9, 2026
- HNW RAUM · $33.9M to $47.4MFeb 14, 2025 to Feb 9, 2026
- Individual RAUM · $6.0M to $8.3MFeb 14, 2025 to Feb 9, 2026
- RAUM · $73.2M to $91.9MFeb 14, 2025 to Feb 9, 2026
- Accounts · 78 to 98Feb 14, 2024 to Feb 14, 2025
- HNW clients · 24 to 23Feb 14, 2024 to Feb 14, 2025
- Individual clients · 21 to 30Feb 14, 2024 to Feb 14, 2025
- Employees · 4 to 3Feb 14, 2024 to Feb 14, 2025
- Financial planning clients · 0 to 0Feb 14, 2024 to Feb 14, 2025
- Discretionary RAUM · $65.9M to $73.2MFeb 14, 2024 to Feb 14, 2025
- HNW RAUM · $30.2M to $33.9MFeb 14, 2024 to Feb 14, 2025
- Individual RAUM · $2.6M to $6.0MFeb 14, 2024 to Feb 14, 2025
- RAUM · $65.9M to $73.2MFeb 14, 2024 to Feb 14, 2025
- Accounts · 77 to 78May 9, 2023 to Feb 14, 2024
- HNW clients · 21 to 24May 9, 2023 to Feb 14, 2024
- Individual clients · 20 to 21May 9, 2023 to Feb 14, 2024
- Pension plan clients · 5 to 0May 9, 2023 to Feb 14, 2024
- Discretionary RAUM · $66.9M to $65.9MMay 9, 2023 to Feb 14, 2024
- HNW RAUM · $32.0M to $30.2MMay 9, 2023 to Feb 14, 2024
- Individual RAUM · $2.1M to $2.6MMay 9, 2023 to Feb 14, 2024
- Pension RAUM · $2.9M to $0May 9, 2023 to Feb 14, 2024
- RAUM · $66.9M to $65.9MMay 9, 2023 to Feb 14, 2024
- Accounts · 78 to 77Oct 12, 2022 to Feb 1, 2023
- Advisory employees · 2 to 3Oct 12, 2022 to Feb 1, 2023
- HNW clients · 23 to 21Oct 12, 2022 to Feb 1, 2023
- Individual clients · 18 to 20Oct 12, 2022 to Feb 1, 2023
- Pension plan clients · 6 to 5Oct 12, 2022 to Feb 1, 2023
- Employees · 3 to 4Oct 12, 2022 to Feb 1, 2023
- State-registered IARs · 2 to 3Oct 12, 2022 to Feb 1, 2023
- Discretionary RAUM · $69.8M to $66.9MOct 12, 2022 to Feb 1, 2023
- HNW RAUM · $32.3M to $32.0MOct 12, 2022 to Feb 1, 2023
- Individual RAUM · $2.1M to $2.1MOct 12, 2022 to Feb 1, 2023
- Pension RAUM · $4.8M to $2.9MOct 12, 2022 to Feb 1, 2023
- RAUM · $69.8M to $66.9MOct 12, 2022 to Feb 1, 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
- Business phone
- 858-454-4837reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- M•••••••.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 858-454-4837reportedpublic record, Form ADV, Feb 9, 2026
- Contact form
- m•••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- m•••••••.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
- $30.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026