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O••••••• W••••• M••••••••• I•••

Independent wealth managerSEC-registered· Monrovia, Californiawebsite

Independent wealth manager, based in Monrovia, California, reporting $179M of regulatory assets across 2 registered advisors.

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

Regulatory AUM
$179M
Form ADV
Advisors
2
IAPD
Net advisor flow, 12 months
0
0 joined, 0 left
IAPD registration history
RAUM change, 1 year
+13%
Form ADV, consecutive annual filings
Private clients
99%
of RAUM, $178M
Form ADV
See where advisers wentSee teams that moved
More
Advisors (2)Where the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

  1. +12.9%
    RAUM, one year

    RAUM $159M to $179M (+12.9%) on the Form ADV filed 23 Jun 2026, while advisors on the filing rose 2 to 2.

    Assets holding up while advisors and offices fall means the departures have not yet shown in the assets; the next filing will.

    FactForm ADV Item 5History →
Every filed figure, and the identifiersCRD 152316 · SEC 801-131495 · 8 filingsShow
CRD 152316SEC 801-131495First filing on the tape Oct 21, 2024, latest Jun 23, 2026SEC status approved since Nov 19, 2024IAPD
RAUM
$179M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$178M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$89.6M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape

RAUM +13% over the last fiscal year · the tape starts Oct 21, 2024

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$179M as of Jun 23, 2026
Feb 27, 2025$159M then
HNW client RAUM$133M as of Jun 23, 2026
Feb 27, 2025$113M then
State-registered IARs (5.B.3)2 as of Jun 23, 2026
Feb 27, 20252 then
Employees (5.A)2 as of Jun 23, 2026
Feb 27, 20252 then
Private funds: no history
RAUM +13% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Jun 23, 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
  • 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
$89.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
111derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.9MderivedHNW RAUM over HNW clients
Average account
$452,305derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+13%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+1.8%derived
Compensation
percentage of assets, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, otherreportedItem 5.G
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing

74% high-net-worth individuals, 25% individuals, and 1 other client type

The breakdown by client type, and the client counts3 client typesShow
  • High-net-worth individuals$133M74%
  • Individuals$44.3M25%
  • Corporations and businesses$1.5M0.8%
Individual clients
150reported
HNW clients
71reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
396reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisor movement
0 left over 36 months
0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount
Where they went: the top destinations among the 2 most recent departures on the tape
Left, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Advisors registered through the firm
    2 on IAPD today; the longest tenured first
    NameBranchHere sinceIn industryPrior firms
    J••• V•••••• O•••••••Monrovia, CaJun 26, 201232 y4
    C••••••••• P•••••• D• L•••••••Monrovia, CaJan 13, 201417 y0
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • D• L•••••••• C••••••••• P•••••• · Chief Operating Officercontrol
      since 01/2022 · owns 25% to 50%
    • O•••••••• J•••• V•••••• · Chief Executive Officer And Chief Compliance Officercontrol
      since 02/2011 · owns 50% to 75%
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Monrovia, Ca · principal200
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 392 to 396
      Sep 8, 2025 to Feb 13, 2026
    • HNW clients · 62 to 71
      Sep 8, 2025 to Feb 13, 2026
    • Individual clients · 155 to 150
      Sep 8, 2025 to Feb 13, 2026
    • Discretionary RAUM · $159M to $179M
      Sep 8, 2025 to Feb 13, 2026
    • HNW RAUM · $113M to $133M
      Sep 8, 2025 to Feb 13, 2026
    Full history · 18 changes
    • Individual RAUM · $44.6M to $44.3M
      Sep 8, 2025 to Feb 13, 2026
    • RAUM · $159M to $179M
      Sep 8, 2025 to Feb 13, 2026
    • Financial planning clients · 26-50 to 26-50
      Feb 27, 2025 to Mar 25, 2025
    • Accounts · 370 to 392
      Nov 4, 2024 to Feb 27, 2025
    • HNW clients · 66 to 62
      Nov 4, 2024 to Feb 27, 2025
    • Individual clients · 147 to 155
      Nov 4, 2024 to Feb 27, 2025
    • Financial planning clients · 0 to 26-50
      Nov 4, 2024 to Feb 27, 2025
    • Discretionary RAUM · $154M to $159M
      Nov 4, 2024 to Feb 27, 2025
    • HNW RAUM · $113M to $113M
      Nov 4, 2024 to Feb 27, 2025
    • Individual RAUM · $40.2M to $44.6M
      Nov 4, 2024 to Feb 27, 2025
    • Pension RAUM · unset to 0.0
      Nov 4, 2024 to Feb 27, 2025
    • Pooled vehicle RAUM · unset to 0.0
      Nov 4, 2024 to Feb 27, 2025
    • RAUM · $154M to $159M
      Nov 4, 2024 to Feb 27, 2025
    Signals
    1 dated events
    • ••• Locked
      Oct 21, 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
    Business email
    ••• 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 23, 2026
    Principal office phone
    ••• Lockedreportedpublic record, Form ADV, Jun 23, 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
    $89.6Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026