DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Tax Efficient Asset Management Solution, Inc.
Latest filing Mar 31, 2026
First filing on the tape Apr 2, 2012 · 30 filings
SEC status approved since Mar 24, 2017
RAUM
$148M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
65%
$96.6M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$74.1M
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$148M as of Mar 31, 2026
Apr 2, 2012$140M then
HNW client RAUM$92.5M as of Mar 31, 2026
Mar 20, 2018$52.0M then
State-registered IARs (5.B.3)2 as of Mar 31, 2026
Apr 1, 20130 then
Employees (5.A)5 as of Mar 31, 2026
Apr 1, 20138 then
Private funds: no history
RAUM +29% over the last fiscal year+16% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- $74.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 29derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $730,340derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 35%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +29%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -19%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $12.5M, 11 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$92.5M62%
- Charitable organizations$47.8M32%
- Individuals$4.1M2.8%
- Pension and profit-sharing plans$3.9M2.6%
- Individual clients
- 12reported
- HNW clients
- 45reported
- Pension plan clients
- n/areported
- Charitable clients
- 30reported
- Accounts
- 203reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $12.5M for 11 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.65 fund_share=0.0 institutional_share=0.35 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Evan Tai PanChartered Financial Analyst | Pasadena, Ca | Nov 19, 2025 | 12 y | 2 |
| Timothy Lee Voorhees | Costa Mesa, Ca | Dec 3, 2025 | 40 y | 3 |
Advisor movement
0 left, 2 joined in 12 months
net +2 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- Guy Eugene Baker to Wealth Teams AllianceApr 9, 2019 · RIA to RIA
Joined, latest
- Timothy Lee Voorhees from Select Portfolio Management IncDec 3, 2025 · Other
- Evan Tai Pan from Visionquest Advisors, LLCNov 19, 2025 · Other
- Guy Eugene Baker from Alexander Beard (USA) Inc.Mar 19, 2014 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Marie Lara Johnston · Chief Compliance Officercontrolsince 08/2023 · owns less than 5%
- Tai Evan Pan · Director & Chief Investment Officercontrolsince 01/2019 · owns 50% to 75%
- Lee Timothy Voorhees · Presidentcontrolsince 04/2008 · owns 50% to 75%
Related persons
Schedule D 7.A
- Integrated Family Office Insurance Services, Inc.real estaten
- Million Voorhees Ziebold Llpn
- Pan Global Advisers, LLCinvestment adviseryRAUM $270M
Advisers that list Tax Efficient Asset Management Solution, Inc. as a related person
- 301863 y
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Costa Mesa, Ca · principal | 2 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Pasadena, CA3 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Mar 31, 2026custody of client assets (Item 9.A): no on the filing of 2025-03-31, yes on the filing of 2026-03-31peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Accounts · 223 to 203Mar 31, 2025 to Mar 31, 2026
- Charity clients · 28 to 30Mar 31, 2025 to Mar 31, 2026
- HNW clients · 50 to 45Mar 31, 2025 to Mar 31, 2026
- Individual clients · 20 to 12Mar 31, 2025 to Mar 31, 2026
- Pension plan clients · 5.0 to unsetMar 31, 2025 to Mar 31, 2026
- Assets in custody · $10.7M to $12.5MMar 31, 2025 to Mar 31, 2026
- Custody of client assets · false to trueMar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $112M to $145MMar 31, 2025 to Mar 31, 2026
- HNW RAUM · $61.0M to $92.5MMar 31, 2025 to Mar 31, 2026
- Individual RAUM · $6.2M to $4.1MMar 31, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $2.6M to $3.0MMar 31, 2025 to Mar 31, 2026
- Pension RAUM · $4.4M to $3.9MMar 31, 2025 to Mar 31, 2026
- RAUM · $115M to $148MMar 31, 2025 to Mar 31, 2026
- Accounts · 224 to 223May 24, 2024 to Mar 31, 2025
- Charity clients · 29 to 28May 24, 2024 to Mar 31, 2025
- HNW clients · 56 to 50May 24, 2024 to Mar 31, 2025
- Individual clients · 21 to 20May 24, 2024 to Mar 31, 2025
- Pension plan clients · 4 to 5May 24, 2024 to Mar 31, 2025
- Assets in custody · $6.8M to $10.7MMay 24, 2024 to Mar 31, 2025
- Financial planning clients · 51-100 to 51-100May 24, 2024 to Mar 31, 2025
- Discretionary RAUM · $96.5M to $112MMay 24, 2024 to Mar 31, 2025
- HNW RAUM · $53.0M to $61.0MMay 24, 2024 to Mar 31, 2025
- Individual RAUM · $6.4M to $6.2MMay 24, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $2.4M to $2.6MMay 24, 2024 to Mar 31, 2025
- Pension RAUM · $2.6M to $4.4MMay 24, 2024 to Mar 31, 2025
- RAUM · $98.9M to $115MMay 24, 2024 to Mar 31, 2025
- Accounts · 229 to 224Dec 26, 2023 to Mar 28, 2024
- Advisory employees · 4 to 2Dec 26, 2023 to Mar 28, 2024
- Charity clients · 27 to 29Dec 26, 2023 to Mar 28, 2024
- HNW clients · 53 to 56Dec 26, 2023 to Mar 28, 2024
- Individual clients · 22 to 21Dec 26, 2023 to Mar 28, 2024
- Assets in custody · $39.7M to $6.8MDec 26, 2023 to Mar 28, 2024
- Custody of client assets · true to falseDec 26, 2023 to Mar 28, 2024
- Insurance-licensed employees · 0 to 1Dec 26, 2023 to Mar 28, 2024
- State-registered IARs · 4 to 2Dec 26, 2023 to Mar 28, 2024
- Discretionary RAUM · $94.4M to $96.5MDec 26, 2023 to Mar 28, 2024
- HNW RAUM · $55.2M to $53.0MDec 26, 2023 to Mar 28, 2024
- Individual RAUM · $5.6M to $6.4MDec 26, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $5.3M to $2.4MDec 26, 2023 to Mar 28, 2024
- Pension RAUM · $5.7M to $2.6MDec 26, 2023 to Mar 28, 2024
Signals
3 dated events
- Lara Johnston (Chief Compliance Officer) appeared on Schedule A of Tax Efficient Asset Management Solution, Inc.Dec 26, 2023 · Control person joined · fact
- Evan Pan (Chief Investment Officer) appeared on Schedule A of Tax Efficient Asset Management Solution, Inc.Apr 1, 2019 · Control person joined · fact
- Tax Efficient Asset Management Solution, Inc. filed its initial SEC registration (Form ADV)Mar 20, 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 phone
- 800-447-7090reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- familyofficeria.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 949-878-9400reportedpublic record, Form ADV, Mar 31, 2026
- Contact form
- familyofficeria.com/contact-us/index.phpreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- familyofficeria.com/our-team/index.phpreportedpublished by the firm, firm site, Sep 16, 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
- $74.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026