DFX Intelligence
RIA Intelligence
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SEC-registered adviser
T•••••• C•••••• M••••••••• L••
Latest filing Apr 15, 2026
First filing on the tape Mar 30, 2012 · 19 filings
SEC status approved since Feb 23, 2007
RAUM
$557M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
78%
$432M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$111M
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$557M as of Apr 15, 2026
Mar 30, 2012$131M then
HNW client RAUM$382M as of Apr 15, 2026
Mar 29, 2018$136M then
State-registered IARs (5.B.3)4 as of Apr 15, 2026
Mar 30, 20120 then
Employees (5.A)6 as of Apr 15, 2026
Mar 4, 20132 then
Private funds: no history
RAUM +23% over the last fiscal year+13% a year over threeIARs 5 to 4
Practice profile
derived from the filing of Apr 15, 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
- $111MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 75derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $583,659derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 22%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 1.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- -20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.9%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $45.8M, 64 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)
- compensates persons for client referrals (8.G.1)
- 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$382M69%
- Charitable organizations$116M21%
- Individuals$49.8M8.9%
- Pension and profit-sharing plans$7.5M1.4%
- Corporations and businesses$1.5M0.3%
- Individual clients
- 204reported
- HNW clients
- 172reported
- Pension plan clients
- 6reported
- Charitable clients
- 8reported
- Accounts
- 954reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $45.8M for 64 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.78 fund_share=0.0 institutional_share=0.22 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••••• Y••• B•••••Chartered Financial Analyst | Olympia, Wa | Dec 5, 2007 | 24 y | 2 |
| D••••• R••• B••••Certified Financial Planner | Upland, Ca | Sep 24, 2013 | 18 y | 1 |
| L••• L••• K•••••••••Certified Financial Planner | Ventuta, Ca | Oct 3, 2013 | 13 y | 1 |
| F•••••• B•••• F•••••Certified Financial Planner | Santa Barbara, Ca | Jan 1, 2025 | 26 y | 2 |
| O•••••• P••••••••• | Upland, Ca | Jun 12, 2026 | 21 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
- F•••••• B•••• F••••• from T•••••• F•••••••• P•••••••Jan 1, 2025 · Other
- L••• L••• K••••••••• from T•••••• F•••••••• P•••••••Oct 3, 2013 · Other
- D••••• R••• B•••• from T•••••• F•••••••• P•••••••Sep 24, 2013 · Other
- A••••• Y••• B••••• from M••••• A•••••••Dec 5, 2007 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• A•••••• Y••• · Non-Managing Member / Chief Investment Officercontrolsince 02/2010 · owns 10% to 25%
- F•••••• F••••••• B•••• · Managing Member / President / Chief Compliance Officercontrolsince 09/2006 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Santa Barbara, Ca · principal | 3 | 1 | 0 | ||
| Upland, Ca | 2 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Rancho Cucamonga, CA3 employees
- Olympia, WA1 employees
What changed
consecutive filings, newest first
- RAUM · $454M to $557MMar 12, 2025 to Feb 20, 2026
- Accounts · 937 to 954Mar 12, 2025 to Feb 20, 2026
- Advisory employees · 5 to 4Mar 12, 2025 to Feb 20, 2026
- Corporate clients · 5 to 3Mar 12, 2025 to Feb 20, 2026
- HNW clients · 165 to 172Mar 12, 2025 to Feb 20, 2026
- Assets in custody · $166M to $45.8MMar 12, 2025 to Feb 20, 2026
- Employees · 5 to 6Mar 12, 2025 to Feb 20, 2026
- State-registered IARs · 5 to 4Mar 12, 2025 to Feb 20, 2026
- Discretionary RAUM · $450M to $556MMar 12, 2025 to Feb 20, 2026
- HNW RAUM · $311M to $382MMar 12, 2025 to Feb 20, 2026
- Individual RAUM · $40.9M to $49.8MMar 12, 2025 to Feb 20, 2026
- Non-discretionary RAUM · $3.1M to $473,912Mar 12, 2025 to Feb 20, 2026
- Pension RAUM · $7.8M to $7.5MMar 12, 2025 to Feb 20, 2026
- Accounts · 923 to 937Feb 29, 2024 to Mar 12, 2025
- Charity clients · 9 to 8Feb 29, 2024 to Mar 12, 2025
- HNW clients · 159 to 165Feb 29, 2024 to Mar 12, 2025
- Individual clients · 207 to 204Feb 29, 2024 to Mar 12, 2025
- Assets in custody · $89.8M to $166MFeb 29, 2024 to Mar 12, 2025
- Financial planning clients · 251-500 to 251-500Feb 29, 2024 to Mar 12, 2025
- Discretionary RAUM · $413M to $450MFeb 29, 2024 to Mar 12, 2025
- HNW RAUM · $288M to $311MFeb 29, 2024 to Mar 12, 2025
- Individual RAUM · $40.7M to $40.9MFeb 29, 2024 to Mar 12, 2025
- Non-discretionary RAUM · $406,534 to $3.1MFeb 29, 2024 to Mar 12, 2025
- Pension RAUM · $7.6M to $7.8MFeb 29, 2024 to Mar 12, 2025
- RAUM · $414M to $454MFeb 29, 2024 to Mar 12, 2025
- Accounts · 876 to 923Mar 17, 2023 to Feb 29, 2024
- Charity clients · 10 to 9Mar 17, 2023 to Feb 29, 2024
- Corporate clients · 4 to 5Mar 17, 2023 to Feb 29, 2024
- HNW clients · 155 to 159Mar 17, 2023 to Feb 29, 2024
- Individual clients · 202 to 207Mar 17, 2023 to Feb 29, 2024
- Pension plan clients · 5 to 6Mar 17, 2023 to Feb 29, 2024
- Assets in custody · $139M to $89.8MMar 17, 2023 to Feb 29, 2024
- Discretionary RAUM · $379M to $413MMar 17, 2023 to Feb 29, 2024
- HNW RAUM · $260M to $288MMar 17, 2023 to Feb 29, 2024
- Individual RAUM · $33.8M to $40.7MMar 17, 2023 to Feb 29, 2024
- Non-discretionary RAUM · $4.1M to $406,534Mar 17, 2023 to Feb 29, 2024
- Pension RAUM · $11.2M to $7.6MMar 17, 2023 to Feb 29, 2024
- RAUM · $383M to $414MMar 17, 2023 to Feb 29, 2024
- Accounts · 830 to 876Mar 21, 2022 to Mar 17, 2023
- Charity clients · 11 to 10Mar 21, 2022 to Mar 17, 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
- 909-481-4000reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 909-481-4001reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- T••••••CM.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 805-963-0500reportedpublic record, Form ADV, Apr 15, 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
- $111Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026