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.
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SEC-registered adviser
T•••• I••••••••• M••••••••• L••
Latest filing Sep 16, 2026
First filing on the tape Feb 7, 2012 · 37 filings
SEC status approved since Apr 29, 2026
RAUM
$120M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
90%
$108M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$59.8M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
37 filings and snapshots on the tape
RAUM$120M as of Jun 16, 2026
Feb 7, 2012$91.5M then
HNW client RAUM$103M as of Jun 16, 2026
Feb 26, 2018$122M then
State-registered IARs (5.B.3)2 as of Jun 16, 2026
Feb 7, 20120 then
Employees (5.A)2 as of Jun 16, 2026
Mar 21, 20132 then
Private funds: no history
RAUM n/a over the last fiscal year+16% a year over three
Practice profile
derived from the filing of Sep 16, 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
- $59.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 20derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.1MderivedHNW RAUM over HNW clients
- Average account
- $1.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived2 offices 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 assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $76.4M, 6 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
- High-net-worth individuals$103M86%
- Corporations and businesses$11.3M9.5%
- Individuals$4.7M3.9%
- Charitable organizations$346,9990.3%
- Individual clients
- 15reported
- HNW clients
- 25reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 98reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $76.4M for 6 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.9 fund_share=0.0 institutional_share=0.0 related_bd= related_bank= bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• E••••• H••••••Chartered Financial Analyst | Laguna Niguel, Ca | Jul 5, 2023 | 27 y | 2 |
| D•••• M•••••• H••••••••Chartered Financial Analyst | Newport Beach, Ca | Jul 5, 2023 | 22 y | 2 |
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
- D•••• M•••••• H•••••••• from H•••••••• C••••••• L••Jul 5, 2023 · Other
- J••• E••••• H•••••• from N•••••••• B••••• B• L••Jul 5, 2023 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••••• J•••• E••••• · Partnercontrolsince 02/2008 · owns less than 5%
- H••••••••• D••••• M•••••• · Chief Compliance Officercontrolsince 03/2015 · owns less than 5%
- H••••••• J•••• E••••• · Trustee Of The H•••••• F••••• T•••• U•• 6••••••••controlsince 09/2019 · owns F of H•••••• F••••• T•••• U•• 6••••••••
- H••••••••• D••••• M•••••• · Trustee Of T•• D•••• A•• B••••• H•••••••• F••••• T•••• E••••••••• J••• 2•• 2•••controlsince 07/2018 · owns F of T•• D•••• A•• B••••• H•••••••• F••••• T•••• E••••••••• J••• 2•• 2•••
- H••••••• T•••••• A•••••••• · Trustee Of The H•••••• F••••• T•••• U•• 6••••••••since 09/2019 · owns F of H•••••• F••••• T•••• U•• 6••••••••
- H••••••••• B•••••• G•••••• · Trustee Of T•• D•••• A•• B••••• H•••••••• F••••• T•••• E••••••••• J••• 2•• 2•••since 07/2018 · owns F of T•• D•••• A•• B••••• H•••••••• F••••• T•••• E••••••••• J••• 2•• 2•••
Entity owners
- H•••••• F••••• T•••• U•• 6•••••••• · Managing Memberdirect · owns 75% or more
- T•• D•••• A•• B••••• H•••••••• F••••• T•••• E••••••••• J••• 2•• 2••• · Memberdirect · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Newport Beach, Ca · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · 26-50 to 26-50Jun 16, 2026 to Sep 16, 2026
- Related adviser · false to unsetJun 16, 2026 to Sep 16, 2026
- Related bank · false to unsetJun 16, 2026 to Sep 16, 2026
- Related broker-dealer · false to unsetJun 16, 2026 to Sep 16, 2026
- Related insurance company · false to unsetJun 16, 2026 to Sep 16, 2026
- Succession · false to unsetJun 16, 2026 to Sep 16, 2026
- Accounts · 77 to 98Jun 23, 2023 to Mar 30, 2026
- Corporate clients · unset to 5.0Jun 23, 2023 to Mar 30, 2026
- HNW clients · 19 to 25Jun 23, 2023 to Mar 30, 2026
- Individual clients · 13 to 15Jun 23, 2023 to Mar 30, 2026
- Assets in custody · $49.5M to $76.4MJun 23, 2023 to Mar 30, 2026
- Financial planning clients · 11-25 to 26-50Jun 23, 2023 to Mar 30, 2026
- Other offices · 0 to 1Jun 23, 2023 to Mar 30, 2026
- Discretionary RAUM · $76.9M to $120MJun 23, 2023 to Mar 30, 2026
- HNW RAUM · $64.3M to $103MJun 23, 2023 to Mar 30, 2026
- Individual RAUM · $3.3M to $4.7MJun 23, 2023 to Mar 30, 2026
- RAUM · $76.9M to $120MJun 23, 2023 to Mar 30, 2026
- Accounts · 66 to 77Apr 25, 2022 to Mar 30, 2023
- HNW clients · 35 to 19Apr 25, 2022 to Mar 30, 2023
- Individual clients · 27 to 13Apr 25, 2022 to Mar 30, 2023
- Assets in custody · $62.1M to $49.5MApr 25, 2022 to Mar 30, 2023
- Financial planning clients · 1-10 to 11-25Apr 25, 2022 to Mar 30, 2023
- Discretionary RAUM · $125M to $76.9MApr 25, 2022 to Mar 30, 2023
- HNW RAUM · $109M to $64.3MApr 25, 2022 to Mar 30, 2023
- Individual RAUM · $4.5M to $3.3MApr 25, 2022 to Mar 30, 2023
- RAUM · $125M to $76.9MApr 25, 2022 to Mar 30, 2023
- Advisory activities · 3 to 2Mar 16, 2022 to Apr 25, 2022
- Accounts · 68 to 66Aug 9, 2021 to Feb 9, 2022
- HNW clients · 36 to 35Aug 9, 2021 to Feb 9, 2022
- Individual clients · 28 to 27Aug 9, 2021 to Feb 9, 2022
- Assets in custody · $54.6M to $62.1MAug 9, 2021 to Feb 9, 2022
- Discretionary RAUM · $103M to $125MAug 9, 2021 to Feb 9, 2022
- HNW RAUM · $90.4M to $109MAug 9, 2021 to Feb 9, 2022
- Individual RAUM · $3.6M to $4.5MAug 9, 2021 to Feb 9, 2022
- RAUM · $103M to $125MAug 9, 2021 to Feb 9, 2022
- Accounts · 78 to 68Oct 6, 2020 to Feb 23, 2021
- HNW clients · 18 to 36Oct 6, 2020 to Feb 23, 2021
- Individual clients · 16 to 28Oct 6, 2020 to Feb 23, 2021
- Assets in custody · $70.2M to $54.6MOct 6, 2020 to Feb 23, 2021
- Discretionary RAUM · $122M to $103MOct 6, 2020 to Feb 23, 2021
Signals
1 dated events
- Alexandra Tonina Heldman (Trustee Of The H•••••• F••••• T•••• U•• 6••••••••) appeared on Schedule A of T•••• I••••••••• M••••••••• L••Jan 24, 2020 · Control person joined · 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
- contact@triadim.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 949-679-3991reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 949-851-7912reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- T••••IM.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (949) 679-3991reportedpublic record, Form ADV, Sep 16, 2026
- Contact form
- triadinvestmentmanagement.com/contactreportedpublished 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
- $59.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026