DFX Intelligence

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T••••• W••••• M••••••••• L••

Independent wealth managerSEC-registered· Torrance, Californiawebsite

Independent wealth manager, based in Torrance, California, reporting $171M of regulatory assets across 1 registered advisors.

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

As of 2026-02-11 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $171M
Advisors: 1
Net advisor flow, 12 months: 0
RAUM change, 1 year: +13%
Private clients: 100%

See where advisers went See teams that moved

Advisors (1)Where the RAUM sits

As of 2026-02-11 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 11 Feb 2026, RAUM $151M to $171M (+13.1%) on the Form ADV filed 11 Feb 2026, while advisors on the filing held at 1.

Every filed figure, and the identifiersCRD 132955 · SEC 801-120779 · 11 filingsShow

CRD 132955SEC 801-120779First filing on the tape Mar 12, 2012, latest Feb 11, 2026SEC status approved since Apr 12, 2021IAPD

RAUM

$171M

reported, Item 5.F

Discretionary

6.2%

of RAUM

Private clients

100%

$171M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$171M

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

11 filings and snapshots on the tape

RAUM +14% a year over three years · the tape starts Mar 12, 2012

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$171M as of Feb 11, 2026

Mar 12, 2012$46.7M then

HNW client RAUM$160M as of Feb 11, 2026

Mar 21, 2022$120M then

State-registered IARs (5.B.3)1 as of Feb 11, 2026

Mar 12, 20120 then

Employees (5.A)1 as of Feb 11, 2026

Mar 21, 20221 then

Private funds: no history

RAUM +13% over the last fiscal year+14% a year over threeIARs 1 to 1

Practice profile

derived from the filing of Feb 11, 2026; every figure names its basis

Archetypes

Solo or small team

The rule behind each archetype, and every derived figure1 ruleShow

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: $171MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 63derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $3.5MderivedHNW RAUM over HNW clients
Average account: $754,588derivedRAUM over accounts (5.F.2.f)
Discretionary: 6.2%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.0derivedItem 5.A over advisors
Advisors per office: 1.0derived1 office incl. principal (1.F.5)
RAUM growth, one year: +13%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +1.6%derived
Compensation: hourly, fixed feesreportedItem 5.E
Advisory activities: financial planning, portfolio management for individualsreportedItem 5.G
Custody: $171M, 63 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

94% high-net-worth individuals, 5.9% individuals

The breakdown by client type, and the client counts2 client typesShow

High-net-worth individuals$160M94%
Individuals$10.1M5.9%

Individual clients: 17reported
HNW clients: 46reported
Pension plan clients: 0reported
Charitable clients: 0reported
Accounts: 226reported
Financial planning clients: 51-100reported
Wrap fee programs: noreported
Custody of client assets: $171M for 63 clientsreported
Compensation: fixed, hourlyreported
Class basis: RAUM: 100% private clients, 0% pooled funds, 0% 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

Joined, latest

D•••••• E••••• T••••• from L•• F•••••••• L••
Jan 13, 2005 · Other

Every departure Every arrival

Advisors registered through the firm

1 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry	Prior firms
D•••••• E••••• T•••••Certified Financial Planner, Personal Financial Specialist	Torrance, Ca	Jan 13, 2005	23 y	1

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

T•••••• D••••••• E••••• · Managing Member/Chief Compliance Officercontrol
since 05/2004 · owns 75% or more

Related persons

Schedule D 7.A

T••••• T•• S•••••••• I•••
insurancen

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 218 to 226
Mar 4, 2025 to Feb 11, 2026
HNW clients · 43 to 46
Mar 4, 2025 to Feb 11, 2026
Individual clients · 19 to 17
Mar 4, 2025 to Feb 11, 2026
Assets in custody · $93.9M to $171M
Mar 4, 2025 to Feb 11, 2026
Discretionary RAUM · $8.6M to $10.6M
Mar 4, 2025 to Feb 11, 2026

Full history · 67 changes

HNW RAUM · $140M to $160M
Mar 4, 2025 to Feb 11, 2026
Individual RAUM · $11.0M to $10.1M
Mar 4, 2025 to Feb 11, 2026
Non-discretionary RAUM · $142M to $160M
Mar 4, 2025 to Feb 11, 2026
RAUM · $151M to $171M
Mar 4, 2025 to Feb 11, 2026
Accounts · 202 to 218
Nov 8, 2024 to Mar 4, 2025
HNW clients · 38 to 43
Nov 8, 2024 to Mar 4, 2025
Individual clients · 26 to 19
Nov 8, 2024 to Mar 4, 2025
Assets in custody · $49.9M to $93.9M
Nov 8, 2024 to Mar 4, 2025
Financial planning clients · 51-100 to 51-100
Nov 8, 2024 to Mar 4, 2025
Discretionary RAUM · $5.9M to $8.6M
Nov 8, 2024 to Mar 4, 2025
HNW RAUM · $118M to $140M
Nov 8, 2024 to Mar 4, 2025
Individual RAUM · $13.2M to $11.0M
Nov 8, 2024 to Mar 4, 2025
Non-discretionary RAUM · $125M to $142M
Nov 8, 2024 to Mar 4, 2025
RAUM · $131M to $151M
Nov 8, 2024 to Mar 4, 2025
Accounts · 192 to 202
Mar 27, 2023 to Mar 14, 2024
HNW clients · 39 to 38
Mar 27, 2023 to Mar 14, 2024
Individual clients · 23 to 26
Mar 27, 2023 to Mar 14, 2024
Assets in custody · $30.9M to $49.9M
Mar 27, 2023 to Mar 14, 2024
Discretionary RAUM · $4.5M to $5.9M
Mar 27, 2023 to Mar 14, 2024
HNW RAUM · $106M to $118M
Mar 27, 2023 to Mar 14, 2024
Individual RAUM · $9.8M to $13.2M
Mar 27, 2023 to Mar 14, 2024
Non-discretionary RAUM · $111M to $125M
Mar 27, 2023 to Mar 14, 2024
RAUM · $115M to $131M
Mar 27, 2023 to Mar 14, 2024
Accounts · 187 to 192
Mar 21, 2022 to Mar 27, 2023
HNW clients · 41 to 39
Mar 21, 2022 to Mar 27, 2023
Individual clients · 20 to 23
Mar 21, 2022 to Mar 27, 2023
Assets in custody · unset to 30877603.0
Mar 21, 2022 to Mar 27, 2023
Custody of client assets · false to true
Mar 21, 2022 to Mar 27, 2023
Discretionary RAUM · $5.4M to $4.5M
Mar 21, 2022 to Mar 27, 2023
HNW RAUM · $120M to $106M
Mar 21, 2022 to Mar 27, 2023
Individual RAUM · $9.2M to $9.8M
Mar 21, 2022 to Mar 27, 2023
Non-discretionary RAUM · $123M to $111M
Mar 21, 2022 to Mar 27, 2023
RAUM · $129M to $115M
Mar 21, 2022 to Mar 27, 2023
Accounts · 185 to 187
Mar 12, 2021 to Mar 21, 2022
HNW clients · 38 to 41
Mar 12, 2021 to Mar 21, 2022
Individual clients · 28 to 20
Mar 12, 2021 to Mar 21, 2022
Discretionary RAUM · $4.3M to $5.4M
Mar 12, 2021 to Mar 21, 2022
HNW RAUM · $96.7M to $120M
Mar 12, 2021 to Mar 21, 2022
Individual RAUM · $11.6M to $9.2M
Mar 12, 2021 to Mar 21, 2022
Non-discretionary RAUM · $104M to $123M
Mar 12, 2021 to Mar 21, 2022
RAUM · $108M to $129M
Mar 12, 2021 to Mar 21, 2022
Accounts · 45 to 185
Jun 18, 2012 to Mar 12, 2021
Advisory employees · unset to 1.0
Jun 18, 2012 to Mar 12, 2021
Advisory activities · 3 to 2
Jun 18, 2012 to Mar 12, 2021
Charity clients · unset to 0.0
Jun 18, 2012 to Mar 12, 2021
Corporate clients · unset to 0.0
Jun 18, 2012 to Mar 12, 2021
HNW clients · unset to 38.0
Jun 18, 2012 to Mar 12, 2021
Individual clients · unset to 28.0
Jun 18, 2012 to Mar 12, 2021
Pension plan clients · unset to 0.0
Jun 18, 2012 to Mar 12, 2021
Pooled vehicle clients · unset to 0.0
Jun 18, 2012 to Mar 12, 2021
Employees · unset to 1.0
Jun 18, 2012 to Mar 12, 2021
Financial planning clients · 26-50 to 51-100
Jun 18, 2012 to Mar 12, 2021
State-registered IARs · 0 to 1
Jun 18, 2012 to Mar 12, 2021
Other offices · unset to 0.0
Jun 18, 2012 to Mar 12, 2021
Discretionary RAUM · $2.1M to $4.3M
Jun 18, 2012 to Mar 12, 2021
HNW RAUM · unset to 96730749.0
Jun 18, 2012 to Mar 12, 2021
Individual RAUM · unset to 11581932.0
Jun 18, 2012 to Mar 12, 2021
Non-discretionary RAUM · $44.6M to $104M
Jun 18, 2012 to Mar 12, 2021
Pension RAUM · unset to 0.0
Jun 18, 2012 to Mar 12, 2021
Pooled vehicle RAUM · unset to 0.0
Jun 18, 2012 to Mar 12, 2021
RAUM · $46.7M to $108M
Jun 18, 2012 to Mar 12, 2021
Insurance-licensed employees · 1 to 0
May 3, 2012 to May 31, 2012

Signals

1 dated events

••• Locked
Mar 12, 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

Website: ••• Lockedreportedpublic record, Form ADV, Feb 11, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Feb 11, 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: $171Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026