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Independent wealth managerSEC-registered1 private funds· Newport Beach, Californiawebsite

Independent wealth manager, based in Newport Beach, California, reporting $149M of regulatory assets across 3 registered advisors.

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

Regulatory AUM
$149M
Form ADV
Advisors
3
IAPD
Net advisor flow, 12 months
0
0 joined, 0 left
IAPD registration history
Private clients
84%
of RAUM, $125M
Form ADV
See where advisers wentSee teams that moved
More
Advisors (3)Where the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. No dated change on record yet.

Every filed figure, and the identifiersCRD 145969 · SEC 801-133930 · 4 filingsShow
CRD 145969SEC 801-133930First filing on the tape Jun 23, 2025, latest Jun 9, 2026SEC status approved since Jul 23, 2025IAPD
RAUM
$149M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
84%
$125M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$49.7M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
4 filings and snapshots on the tape

Filed figures over time · the tape starts Jun 23, 2025

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$149M as of Jun 9, 2026
Jun 23, 2025$127M then
HNW client RAUM$105M as of Jun 9, 2026
Jun 23, 2025$88.6M then
State-registered IARs (5.B.3)2 as of Jun 9, 2026
Jun 23, 20252 then
Employees (5.A)2 as of Jun 9, 2026
Jun 23, 20252 then
Private funds1 as of Jun 9, 2026
Jun 23, 20251 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 9, 2026; every figure names its basis
Archetypes
The rule behind each archetype, and every derived figure3 rulesShow
  • HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
  • RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
  • 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
$49.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
35derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.3MderivedHNW RAUM over HNW clients
Average account
$554,072derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
16%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
0.7derivedItem 5.A over advisors
Advisors per office
3.0derived1 office incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 5.G
Custody
$34.9M, 42 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)
  • 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

70% high-net-worth individuals, 16% charitable organizations, and 2 other client types

The breakdown by client type, and the client counts4 client typesShow
  • High-net-worth individuals$105M70%
  • Charitable organizations$23.3M16%
  • Individuals$20.2M14%
  • Pooled investment vehicles$941,7430.6%
Individual clients
60reported
HNW clients
45reported
Pension plan clients
n/areported
Charitable clients
2reported
Accounts
269reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
$34.9M for 42 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
RAUM: 84% private clients, 1% pooled funds, 16% 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
    Every departureEvery arrival
    Advisors registered through the firm
    3 on IAPD today; the longest tenured first
    NameBranchHere sinceIn industryPrior firms
    W••• W•••••• S••••Certified Financial Planner, Chartered Financial AnalystNewport Beach, CaJan 1, 202531 y0
    K•••• D••• W•••••Certified Financial PlannerNewport Beach, CaJul 23, 202512 y0
    K•••• C• B•••Chartered Financial AnalystNewport Beach, CaSep 16, 202528 y1
    Private funds
    1 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    S•••• S•••••• F•••• L•Hedge Fund$941,7431Jun 9, 2026
    Owners and control persons
    Schedule A and B, latest filing
    • S••••• W•••• W•••••• · Managing Member, Presidentcontrol
      since 09/2007 · owns 75% or more
    • W•••••• K••••• D••• · Chief Compliance Officer, Senior Vice Presidentcontrol
      since 01/2026 · 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
    OfficeAdvisorsJoinedLeftTeams outForming
    Newport Beach, Ca · principal300
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 221 to 269
      Aug 18, 2025 to Mar 26, 2026
    • HNW clients · 43 to 45
      Aug 18, 2025 to Mar 26, 2026
    • Individual clients · 45 to 60
      Aug 18, 2025 to Mar 26, 2026
    • Assets in custody · $21.4M to $34.9M
      Aug 18, 2025 to Mar 26, 2026
    • Financial planning clients · 0 to 11-25
      Aug 18, 2025 to Mar 26, 2026
    Full history · 11 changes
    • Discretionary RAUM · $127M to $149M
      Aug 18, 2025 to Mar 26, 2026
    • HNW RAUM · $88.6M to $105M
      Aug 18, 2025 to Mar 26, 2026
    • Individual RAUM · $15.1M to $20.2M
      Aug 18, 2025 to Mar 26, 2026
    • Pooled vehicle RAUM · $794,790 to $941,743
      Aug 18, 2025 to Mar 26, 2026
    • RAUM · $127M to $149M
      Aug 18, 2025 to Mar 26, 2026
    • Financial planning clients · 0 to 0
      Jun 23, 2025 to Aug 18, 2025
    Signals
    2 dated events
    • ••• Locked
      Jun 9, 2026 · private fund first reported · fact
    • ••• Locked
      Jun 23, 2025 · First SEC registration · derived
    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 16, 2026
    Business phone
    ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
    Business phone
    ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
    Website
    ••• Lockedreportedpublic record, Form ADV, Jun 9, 2026
    Principal office phone
    ••• Lockedreportedpublic record, Form ADV, Jun 9, 2026
    Contact form
    ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
    Team page
    ••• Lockedreportedpublished by the firm, firm site, Sep 16, 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
    $49.7Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026

    Not yet on record: RAUM change, 1 year.