DFX Intelligence
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
C••••• W••••• M•••••••••
Independent wealth manager, based in Arcadia, California, reporting $135M of regulatory assets across 2 registered advisors.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $135M
- Advisors
- 2
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- +16%
- Private clients
- 98% of RAUM, $133M
Form ADV
IAPD
IAPD registration history
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
custody of client assets (Item 9.A): no on the filing of 2025-01-29, yes on the filing of 2026-02-12
custody of client assets (Item 9.A) 1- RAUM a year earlier $117MRAUM now $135M
- Contact points 2
Every filed figure, and the identifiersCRD 150486 · SEC 801-129801 · 6 filingsShowHide
CRD 150486SEC 801-129801First filing on the tape Feb 28, 2024, latest Feb 12, 2026SEC status approved since Apr 4, 2024IAPD
RAUM
$135M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$133M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$67.5M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$135M as of Feb 12, 2026
Jan 29, 2025$117M then
HNW client RAUM$93.7M as of Feb 12, 2026
Jan 29, 2025$83.8M then
State-registered IARs (5.B.3)2 as of Feb 12, 2026
Jan 29, 20252 then
Employees (5.A)3 as of Feb 12, 2026
Jan 29, 20252 then
Private funds: no history
RAUM +16% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Feb 12, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $67.5MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 54derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $504,006derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.9%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $39.5M, 28 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$93.7M69%
- Individuals$39.0M29%
- Pension and profit-sharing plans$2.4M1.8%
- Individual clients
- 70reported
- HNW clients
- 37reported
- Pension plan clients
- 2reported
- Charitable clients
- n/areported
- Accounts
- 268reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $39.5M for 28 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 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 |
|---|---|---|---|---|
| S•••• F•••••••• C•••••Certified Financial Planner | Arcadia, Ca | Jul 20, 2009 | 25 y | 2 |
| J••••• M••••••• C•••••Certified Financial Planner | Arcadia, Ca | Jan 20, 2020 | 11 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
- J••• C•••••••• T••• to T••• W••••• M•••••••••Jan 23, 2019 · RIA to a state-registered adviser
Joined, latest
- J••• C•••••••• T••• from L••• F•••••••• • I•••••••• S•••••••Mar 30, 2011 · Other
- S•••• F•••••••• C••••• from L••• F•••••••• • I•••••••• S•••••••Jul 20, 2009 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••• S••••• F•••••••• · Chief Executive Officer, Chief Compliance Officercontrolsince 05/2009 · 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 |
|---|---|---|---|---|---|
| Arcadia, Ca · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Feb 12, 2026custody of client assets (Item 9.A): no on the filing of 2025-01-29, yes on the filing of 2026-02-12peers: independent wealth managers, $100M to $500M (5,679)
What changed
consecutive filings, newest first
- RAUM · $117M to $135MJan 29, 2025 to Feb 12, 2026
- Accounts · 264 to 268Jan 29, 2025 to Feb 12, 2026
- Advisory employees · 2 to 3Jan 29, 2025 to Feb 12, 2026
- HNW clients · 45 to 37Jan 29, 2025 to Feb 12, 2026
- Individual clients · 57 to 70Jan 29, 2025 to Feb 12, 2026
- Pension plan clients · unset to 2.0Jan 29, 2025 to Feb 12, 2026
- Assets in custody · unset to 39526465.0Jan 29, 2025 to Feb 12, 2026
- Custody of client assets · false to trueJan 29, 2025 to Feb 12, 2026
- Employees · 2 to 3Jan 29, 2025 to Feb 12, 2026
- Financial planning clients · 0 to 101-250Jan 29, 2025 to Feb 12, 2026
- Discretionary RAUM · $117M to $135MJan 29, 2025 to Feb 12, 2026
- HNW RAUM · $83.8M to $93.7MJan 29, 2025 to Feb 12, 2026
- Individual RAUM · $29.0M to $39.0MJan 29, 2025 to Feb 12, 2026
- Pension RAUM · $3.8M to $2.4MJan 29, 2025 to Feb 12, 2026
- Accounts · 254 to 264May 24, 2024 to Jan 29, 2025
- HNW clients · 44 to 45May 24, 2024 to Jan 29, 2025
- Individual clients · 60 to 57May 24, 2024 to Jan 29, 2025
- Financial planning clients · 0 to 0May 24, 2024 to Jan 29, 2025
- Discretionary RAUM · $107M to $117MMay 24, 2024 to Jan 29, 2025
- HNW RAUM · $24.4M to $83.8MMay 24, 2024 to Jan 29, 2025
- Individual RAUM · $73.9M to $29.0MMay 24, 2024 to Jan 29, 2025
- Pension RAUM · $8.8M to $3.8MMay 24, 2024 to Jan 29, 2025
- RAUM · $107M to $117MMay 24, 2024 to Jan 29, 2025
Signals
1 dated events
- ••• LockedFeb 28, 2024 · 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, Feb 12, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Feb 12, 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
- $67.5Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026