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O••• I••••••••• M••••••••• L••

Independent wealth managerSEC-registered· Woodland Hills, Californiawebsite

Independent wealth manager, based in Woodland Hills, California, reporting $367M of regulatory assets across 5 registered advisors.

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

As of 2026-08-14 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $367M
Advisors: 5
Net advisor flow, 12 months: +1
RAUM change, 1 year: +15%
Private clients: 89%

See where advisers went See teams that moved

Advisors (5)Where the RAUM sits

As of 2026-08-14 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

+14.8%
RAUM, one year
RAUM $319M to $367M (+14.8%) on the Form ADV filed 14 Aug 2026, while advisors on the filing rose 4 to 5.
The one filed measure of whether clients are staying.
FactForm ADV Item 5History →

Every filed figure, and the identifiersCRD 134506 · SEC 801-110656 · 21 filingsShow

CRD 134506SEC 801-110656First filing on the tape Mar 29, 2012, latest Aug 14, 2026SEC status approved since Jun 16, 2017IAPD

RAUM

$367M

reported, Item 5.F

Discretionary

92%

of RAUM

Private clients

89%

$326M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$73.3M

derived; firm RAUM over IAPD count

Employees

4 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

21 filings and snapshots on the tape

RAUM +14% a year over three years · the tape starts Mar 29, 2012

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

RAUM$367M as of Aug 14, 2026

Mar 29, 2012$68.2M then

HNW client RAUM$279M as of Aug 14, 2026

Feb 6, 2018$115M then

State-registered IARs (5.B.3)5 as of Aug 14, 2026

Feb 6, 20185 then

Employees (5.A)6 as of Aug 14, 2026

Feb 6, 20185 then

Private funds: no history

RAUM +15% over the last fiscal year+14% a year over threeIARs 4 to 5

Practice profile

derived from the filing of Aug 14, 2026; every figure names its basis

Archetypes

The rule behind each archetype, and every derived figure2 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

RAUM per advisor: $73.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 36derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $3.9MderivedHNW RAUM over HNW clients
Average account: $627,899derivedRAUM over accounts (5.F.2.f)
Discretionary: 92%derivedof RAUM
Institutional: 9.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.2derivedItem 5.A over advisors
Advisors per office: 2.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year: +15%derivedbetween the last two annual amendments
Advisor growth, one year: +25%derivedItem 5.B.3 between annual amendments
Client growth, one year: +4.7%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: $84.2M, 59 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

76% high-net-worth individuals, 13% individuals, and 3 other client types

The breakdown by client type, and the client counts5 client typesShow

High-net-worth individuals$279M76%
Individuals$47.2M13%
Pension and profit-sharing plans$31.3M8.5%
Charitable organizations$5.0M1.4%
Corporations and businesses$4.5M1.2%

Individual clients: 108reported
HNW clients: 72reported
Pension plan clients: 15reported
Charitable clients: n/areported
Accounts: 584reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: $84.2M for 59 clientsreported
Compensation: % of AUM, fixedreported
Class basis: RAUM: 89% private clients, 0% pooled funds, 10% 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

E••• M••••• H••••••••• from M••••• S••••••
Jan 30, 2026 · Wirehouse to independent RIA
S••••• S••••• Z••• from M••••• S••••••
Sep 4, 2014 · Other

Every departure Every arrival

Advisors registered through the firm

5 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry	Prior firms
J••••• K•••••• O•••	Woodland Hills, Ca	Mar 22, 1999	27 y	0
S••••• S••••• Z•••	Woodland Hills, Ca	Sep 4, 2014	19 y	3
L•••• A••••• F•••••	Woodland Hills, Ca	Jan 6, 2026	24 y	0
Y• S••••• S•••	Woodland Hills, Ca	Jan 9, 2026	12 y	0
E••• M••••• H•••••••••Certified Financial Planner	Los Angeles, Ca	Jan 30, 2026	27 y	3

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

O•••• D••• · Trustee Of T•• J••••• A•• D••• O••• F••••• T••••• D•••• O•••••• 2• 2•••control
since 10/2013 · owns 75% or more
O•••• J•••••• K•••••• · Portfolio Manager, Cco (Since 2017), Trustee Of T•• J••••• A•• D••• O••• F••••• T••••• D•••• O•••••• 2• 2•••control
since 01/1999 · owns 75% or more
H••••••••• C•••••••• · Trustee Of T•• H••••••••• F••••• R•••••••• T••••• D•••• J••• 1•• 2•••
since 04/2018 · owns 5% to 10%
H••••••••• E•••• M••••• · Portfolio Manager, Trustee Of T•• H••••••••• F••••• R•••••••• T••••• D•••• J••• 1•• 2•••
since 04/2018 · owns 5% to 10%
Z•••• S•••• · Trustee Of T•• S••••• A•• S•••• Z••• F••••• T••••• D•••• A•••• 5• 2•••
since 04/2017 · owns 5% to 10%

All 6 control persons

Z•••• S•••••• S••••• · Portfolio Manager, Trustee Of T•• S••••• A•• S•••• Z••• F••••• T••••• D•••• A•••• 5• 2•••
since 03/2015 · owns 5% to 10%

Entity owners

T•• J••••• A•• D••• O••• F••••• T••••• D•••• O•••••• 2• 2••• · Managing Member
direct · owns 75% or more
T•• H••••••••• F••••• R•••••••• T••••• D•••• J••• 1•• 2••• · Member
direct · owns 5% to 10%
T•• S••••• A•• S•••• Z••• F••••• T••••• D•••• A•••• 5• 2••• · Member
direct · owns 5% to 10%

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
Woodland Hills, Ca · principal	5	3	0

Offices

Schedule D 1.F, the 25 largest

Los Angeles, CA1 employee

What changed

consecutive filings, newest first

Accounts · 599 to 584
Nov 13, 2025 to Feb 11, 2026
Advisory employees · 6 to 4
Nov 13, 2025 to Feb 11, 2026
HNW clients · 61 to 72
Nov 13, 2025 to Feb 11, 2026
Individual clients · 111 to 108
Nov 13, 2025 to Feb 11, 2026
Assets in custody · $58.6M to $84.2M
Nov 13, 2025 to Feb 11, 2026

Full history · 80 changes

State-registered IARs · 4 to 5
Nov 13, 2025 to Feb 11, 2026
Discretionary RAUM · $297M to $339M
Nov 13, 2025 to Feb 11, 2026
HNW RAUM · $223M to $279M
Nov 13, 2025 to Feb 11, 2026
Individual RAUM · $57.1M to $47.2M
Nov 13, 2025 to Feb 11, 2026
Non-discretionary RAUM · $22.8M to $28.1M
Nov 13, 2025 to Feb 11, 2026
Pension RAUM · $27.6M to $31.3M
Nov 13, 2025 to Feb 11, 2026
RAUM · $319M to $367M
Nov 13, 2025 to Feb 11, 2026
Financial planning clients · 0 to 0
Feb 27, 2025 to Nov 13, 2025
Accounts · 583 to 599
Mar 6, 2024 to Feb 27, 2025
HNW clients · 55 to 61
Mar 6, 2024 to Feb 27, 2025
Individual clients · 123 to 111
Mar 6, 2024 to Feb 27, 2025
Pension plan clients · 24 to 15
Mar 6, 2024 to Feb 27, 2025
Assets in custody · $88.5M to $58.6M
Mar 6, 2024 to Feb 27, 2025
Discretionary RAUM · $263M to $297M
Mar 6, 2024 to Feb 27, 2025
HNW RAUM · $190M to $223M
Mar 6, 2024 to Feb 27, 2025
Individual RAUM · $58.5M to $57.1M
Mar 6, 2024 to Feb 27, 2025
Non-discretionary RAUM · $18.1M to $22.8M
Mar 6, 2024 to Feb 27, 2025
Pension RAUM · $22.7M to $27.6M
Mar 6, 2024 to Feb 27, 2025
RAUM · $281M to $319M
Mar 6, 2024 to Feb 27, 2025
Accounts · 565 to 583
Mar 6, 2023 to Mar 6, 2024
Corporate clients · 5 to 6
Mar 6, 2023 to Mar 6, 2024
HNW clients · 53 to 55
Mar 6, 2023 to Mar 6, 2024
Individual clients · 121 to 123
Mar 6, 2023 to Mar 6, 2024
Pension plan clients · 21 to 24
Mar 6, 2023 to Mar 6, 2024
Assets in custody · $78.9M to $88.5M
Mar 6, 2023 to Mar 6, 2024
Discretionary RAUM · $230M to $263M
Mar 6, 2023 to Mar 6, 2024
HNW RAUM · $171M to $190M
Mar 6, 2023 to Mar 6, 2024
Individual RAUM · $44.1M to $58.5M
Mar 6, 2023 to Mar 6, 2024
Non-discretionary RAUM · $15.5M to $18.1M
Mar 6, 2023 to Mar 6, 2024
Pension RAUM · $20.0M to $22.7M
Mar 6, 2023 to Mar 6, 2024
RAUM · $245M to $281M
Mar 6, 2023 to Mar 6, 2024
Accounts · 523 to 565
Jun 28, 2022 to Mar 6, 2023
Corporate clients · 6 to 5
Jun 28, 2022 to Mar 6, 2023
HNW clients · 62 to 53
Jun 28, 2022 to Mar 6, 2023
Individual clients · 100 to 121
Jun 28, 2022 to Mar 6, 2023
Pension plan clients · 20 to 21
Jun 28, 2022 to Mar 6, 2023
Assets in custody · $48.5M to $78.9M
Jun 28, 2022 to Mar 6, 2023
Discretionary RAUM · $280M to $230M
Jun 28, 2022 to Mar 6, 2023
HNW RAUM · $213M to $171M
Jun 28, 2022 to Mar 6, 2023
Individual RAUM · $43.7M to $44.1M
Jun 28, 2022 to Mar 6, 2023
Non-discretionary RAUM · $17.2M to $15.5M
Jun 28, 2022 to Mar 6, 2023
Pension RAUM · $22.3M to $20.0M
Jun 28, 2022 to Mar 6, 2023
RAUM · $297M to $245M
Jun 28, 2022 to Mar 6, 2023
Accounts · 496 to 523
Mar 16, 2021 to Mar 17, 2022
Advisory employees · 3 to 6
Mar 16, 2021 to Mar 17, 2022
HNW clients · 51 to 62
Mar 16, 2021 to Mar 17, 2022
Individual clients · 111 to 100
Mar 16, 2021 to Mar 17, 2022
Pension plan clients · 15 to 20
Mar 16, 2021 to Mar 17, 2022
Assets in custody · $63.5M to $48.5M
Mar 16, 2021 to Mar 17, 2022
Employees · 5 to 6
Mar 16, 2021 to Mar 17, 2022
Discretionary RAUM · $254M to $280M
Mar 16, 2021 to Mar 17, 2022
HNW RAUM · $193M to $213M
Mar 16, 2021 to Mar 17, 2022
Individual RAUM · $40.9M to $43.7M
Mar 16, 2021 to Mar 17, 2022
Non-discretionary RAUM · $16.5M to $17.2M
Mar 16, 2021 to Mar 17, 2022
Pension RAUM · $20.4M to $22.3M
Mar 16, 2021 to Mar 17, 2022
RAUM · $270M to $297M
Mar 16, 2021 to Mar 17, 2022
Accounts · 441 to 496
Jun 22, 2020 to Mar 16, 2021
Advisory employees · 5 to 3
Jun 22, 2020 to Mar 16, 2021
Corporate clients · 5 to 6
Jun 22, 2020 to Mar 16, 2021
HNW clients · 43 to 51
Jun 22, 2020 to Mar 16, 2021
Individual clients · 103 to 111
Jun 22, 2020 to Mar 16, 2021
Assets in custody · $48.1M to $63.5M
Jun 22, 2020 to Mar 16, 2021
State-registered IARs · 5 to 4
Jun 22, 2020 to Mar 16, 2021
Discretionary RAUM · $207M to $254M
Jun 22, 2020 to Mar 16, 2021
HNW RAUM · $151M to $193M
Jun 22, 2020 to Mar 16, 2021
Individual RAUM · $35.3M to $40.9M
Jun 22, 2020 to Mar 16, 2021
Non-discretionary RAUM · $5.2M to $16.5M
Jun 22, 2020 to Mar 16, 2021
Pension RAUM · $10.3M to $20.4M
Jun 22, 2020 to Mar 16, 2021
RAUM · $212M to $270M
Jun 22, 2020 to Mar 16, 2021
Accounts · 405 to 441
Feb 25, 2019 to Feb 21, 2020
Advisory activities · 2 to 3
Feb 25, 2019 to Feb 21, 2020
Corporate clients · unset to 5.0
Feb 25, 2019 to Feb 21, 2020
HNW clients · 39 to 43
Feb 25, 2019 to Feb 21, 2020
Individual clients · 99 to 103
Feb 25, 2019 to Feb 21, 2020
Pension plan clients · 14 to 15
Feb 25, 2019 to Feb 21, 2020

Signals

2 dated events

••• Locked
Feb 25, 2019 · Control person joined · fact
••• Locked
May 18, 2017 · 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 email: ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
Website: ••• Lockedreportedpublic record, Form ADV, Aug 14, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Aug 14, 2026
Contact form: ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
Team page: ••• Lockedreportedpublished by the firm, firm site, Sep 15, 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: $73.3Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026