DFX Intelligence

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S•••••• • G•••••• L••

Independent wealth managerSEC-registered· El Segundo, Californiawebsite

Independent wealth manager, based in El Segundo, California, reporting $366M of regulatory assets across 4 registered advisors.

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

As of 2026-03-09 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $366M
Advisors: 4
Net advisor flow, 12 months: 0
RAUM change, 1 year: +15%
Private clients: 89%

See where advisers went See teams that moved

Advisors (4)Where the RAUM sits

As of 2026-03-09 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 9 Mar 2026, RAUM $318M to $366M (+15.1%) on the Form ADV filed 9 Mar 2026, while advisors on the filing rose 4 to 4.

Every filed figure, and the identifiersCRD 136719 · SEC 801-96271 · 18 filingsShow

CRD 136719SEC 801-96271First filing on the tape May 4, 2015, latest Mar 9, 2026SEC status approved since May 15, 2015IAPD

RAUM

$366M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

89%

$328M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$91.6M

derived; firm RAUM over IAPD count

Employees

4 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

18 filings and snapshots on the tape

RAUM +18% a year over three years · the tape starts May 4, 2015

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

RAUM$366M as of Mar 9, 2026

Mar 9, 2016$105M then

HNW client RAUM$307M as of Mar 9, 2026

Mar 6, 2018$135M then

State-registered IARs (5.B.3)4 as of Mar 9, 2026

Mar 9, 20161 then

Employees (5.A)4 as of Mar 9, 2026

Mar 9, 20162 then

Private funds: no history

RAUM +15% over the last fiscal year+18% a year over threeIARs 4 to 4offices 0 to 1

Practice profile

derived from the filing of Mar 9, 2026; every figure names its basis

Archetypes

Independent boutique

The rule behind each archetype, and every derived figure1 rulesShow

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: $91.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 31derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $4.7MderivedHNW RAUM over HNW clients
Average account: $772,920derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 7.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.0derivedItem 5.A over advisors
Advisors per office: 2.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year: +15%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: percentage of assetsreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
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)
compensates persons for client referrals (8.G.1)
compensates non-employees for client referrals (8.G.2)

Where the RAUM sits

Form ADV Item 5.D, latest filing

84% high-net-worth individuals, 5.6% pension and profit-sharing plans, and 3 other client types

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

High-net-worth individuals$307M84%
Pension and profit-sharing plans$20.7M5.6%
Individuals$20.0M5.5%
Corporations and businesses$9.8M2.7%
Charitable organizations$8.4M2.3%

Individual clients: 59reported
HNW clients: 65reported
Pension plan clients: 6reported
Charitable clients: 2reported
Accounts: 474reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUMreported
Class basis: private_client_share=0.89 fund_share=0.0 institutional_share=0.08 related_bd=false related_bank=false bd_reps=0.0derived

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

none on the tape

Every departure Every arrival

Advisors registered through the firm

4 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry	Prior firms
C••••••••• T••••• C•••••••	El Segundo, Ca	Feb 10, 2014	23 y	0
R••• E••••• P••••••	El Segundo, Ca	Feb 28, 2017	10 y	0
T••• M•••• H••••••	El Segundo, Ca	Jun 12, 2019	12 y	0
A••••• W•••••• L••••••	El Segundo, Ca	Mar 10, 2025	12 y	1

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

C•••••••• C••••••••• T••••• · Managing Director & Chief Compliance Officercontrol
since 03/2003 · owns 75% or more
C•••••••• R••••••• A•• · Member
since 07/2022 · owns less than 5%

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
El Segundo, Ca · principal	4	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 461 to 474
May 29, 2025 to Mar 9, 2026
Corporate clients · 1 to 3
May 29, 2025 to Mar 9, 2026
HNW clients · 54 to 65
May 29, 2025 to Mar 9, 2026
Individual clients · 68 to 59
May 29, 2025 to Mar 9, 2026
Employees · 5 to 4
May 29, 2025 to Mar 9, 2026

Full history · 80 changes

Discretionary RAUM · $318M to $366M
May 29, 2025 to Mar 9, 2026
HNW RAUM · $266M to $307M
May 29, 2025 to Mar 9, 2026
Individual RAUM · $28.1M to $20.0M
May 29, 2025 to Mar 9, 2026
Pension RAUM · $16.3M to $20.7M
May 29, 2025 to Mar 9, 2026
RAUM · $318M to $366M
May 29, 2025 to Mar 9, 2026
Financial planning clients · 0 to 0
Feb 11, 2025 to May 29, 2025
Other offices · 0 to 1
Feb 11, 2025 to May 29, 2025
Accounts · 425 to 461
Mar 18, 2024 to Feb 11, 2025
Charity clients · 1 to 2
Mar 18, 2024 to Feb 11, 2025
Corporate clients · 2 to 1
Mar 18, 2024 to Feb 11, 2025
HNW clients · 55 to 54
Mar 18, 2024 to Feb 11, 2025
Individual clients · 63 to 68
Mar 18, 2024 to Feb 11, 2025
Pension plan clients · 5 to 6
Mar 18, 2024 to Feb 11, 2025
Discretionary RAUM · $300M to $318M
Mar 18, 2024 to Feb 11, 2025
HNW RAUM · $258M to $266M
Mar 18, 2024 to Feb 11, 2025
Individual RAUM · $17.6M to $28.1M
Mar 18, 2024 to Feb 11, 2025
Pension RAUM · $16.0M to $16.3M
Mar 18, 2024 to Feb 11, 2025
RAUM · $300M to $318M
Mar 18, 2024 to Feb 11, 2025
Accounts · 396 to 425
Sep 5, 2023 to Mar 18, 2024
Charity clients · unset to 1.0
Sep 5, 2023 to Mar 18, 2024
Corporate clients · unset to 2.0
Sep 5, 2023 to Mar 18, 2024
HNW clients · 51 to 55
Sep 5, 2023 to Mar 18, 2024
Individual clients · 54 to 63
Sep 5, 2023 to Mar 18, 2024
Pension plan clients · unset to 5.0
Sep 5, 2023 to Mar 18, 2024
Assets in custody · 166154837.0 to unset
Sep 5, 2023 to Mar 18, 2024
Custody of client assets · true to false
Sep 5, 2023 to Mar 18, 2024
Discretionary RAUM · $224M to $300M
Sep 5, 2023 to Mar 18, 2024
HNW RAUM · $196M to $258M
Sep 5, 2023 to Mar 18, 2024
Individual RAUM · $15.6M to $17.6M
Sep 5, 2023 to Mar 18, 2024
Pension RAUM · $12.9M to $16.0M
Sep 5, 2023 to Mar 18, 2024
RAUM · $224M to $300M
Sep 5, 2023 to Mar 18, 2024
Accounts · 384 to 396
Feb 2, 2023 to Mar 21, 2023
Advisory employees · 3 to 4
Feb 2, 2023 to Mar 21, 2023
HNW clients · 42 to 51
Feb 2, 2023 to Mar 21, 2023
Individual clients · 56 to 54
Feb 2, 2023 to Mar 21, 2023
Assets in custody · $166M to $166M
Feb 2, 2023 to Mar 21, 2023
Employees · 3 to 5
Feb 2, 2023 to Mar 21, 2023
State-registered IARs · 3 to 4
Feb 2, 2023 to Mar 21, 2023
Discretionary RAUM · $230M to $224M
Feb 2, 2023 to Mar 21, 2023
HNW RAUM · $199M to $196M
Feb 2, 2023 to Mar 21, 2023
Individual RAUM · $18.0M to $15.6M
Feb 2, 2023 to Mar 21, 2023
Pension RAUM · $12.6M to $12.9M
Feb 2, 2023 to Mar 21, 2023
RAUM · $230M to $224M
Feb 2, 2023 to Mar 21, 2023
Accounts · 361 to 384
Feb 9, 2021 to Mar 4, 2022
HNW clients · 39 to 42
Feb 9, 2021 to Mar 4, 2022
Individual clients · 61 to 56
Feb 9, 2021 to Mar 4, 2022
Assets in custody · $138M to $166M
Feb 9, 2021 to Mar 4, 2022
Discretionary RAUM · $204M to $230M
Feb 9, 2021 to Mar 4, 2022
HNW RAUM · $173M to $199M
Feb 9, 2021 to Mar 4, 2022
Individual RAUM · $20.4M to $18.0M
Feb 9, 2021 to Mar 4, 2022
Pension RAUM · $10.4M to $12.6M
Feb 9, 2021 to Mar 4, 2022
RAUM · $204M to $230M
Feb 9, 2021 to Mar 4, 2022
Accounts · 350 to 361
May 26, 2020 to Feb 9, 2021
HNW clients · 37 to 39
May 26, 2020 to Feb 9, 2021
Assets in custody · $102M to $138M
May 26, 2020 to Feb 9, 2021
Discretionary RAUM · $179M to $204M
May 26, 2020 to Feb 9, 2021
HNW RAUM · $146M to $173M
May 26, 2020 to Feb 9, 2021
Individual RAUM · $24.5M to $20.4M
May 26, 2020 to Feb 9, 2021
Pension RAUM · $8.6M to $10.4M
May 26, 2020 to Feb 9, 2021
RAUM · $179M to $204M
May 26, 2020 to Feb 9, 2021
Accounts · 320 to 350
Mar 26, 2019 to Mar 9, 2020
Advisory employees · 2 to 3
Mar 26, 2019 to Mar 9, 2020
Advisory activities · 4 to 3
Mar 26, 2019 to Mar 9, 2020
HNW clients · 28 to 37
Mar 26, 2019 to Mar 9, 2020
Individual clients · 60 to 61
Mar 26, 2019 to Mar 9, 2020
Assets in custody · $93.7M to $102M
Mar 26, 2019 to Mar 9, 2020
State-registered IARs · 2 to 3
Mar 26, 2019 to Mar 9, 2020
Discretionary RAUM · $152M to $179M
Mar 26, 2019 to Mar 9, 2020
HNW RAUM · $128M to $146M
Mar 26, 2019 to Mar 9, 2020
Individual RAUM · $16.5M to $24.5M
Mar 26, 2019 to Mar 9, 2020
Pension RAUM · $7.8M to $8.6M
Mar 26, 2019 to Mar 9, 2020
RAUM · $152M to $179M
Mar 26, 2019 to Mar 9, 2020
Accounts · 309 to 320
Mar 6, 2018 to Mar 26, 2019
Advisory activities · 3 to 4
Mar 6, 2018 to Mar 26, 2019
HNW clients · 34 to 28
Mar 6, 2018 to Mar 26, 2019

Signals

1 dated events

••• Locked
May 4, 2015 · 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, Mar 9, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 9, 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: $91.6Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026