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•••••• W••••• M•••••••••
Legal name T•••••• W••••• M••••••••• I•••
Latest filing Feb 13, 2026
First filing on the tape Jan 13, 2012 · 11 filings
SEC status approved since Apr 22, 2022
RAUM
$223M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$222M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$55.7M
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$223M as of Feb 13, 2026
Jan 13, 2012$10.0M then
HNW client RAUM$222M as of Feb 13, 2026
Mar 8, 2023$98.5M then
State-registered IARs (5.B.3)4 as of Feb 13, 2026
Jan 13, 20120 then
Employees (5.A)4 as of Feb 13, 2026
Mar 8, 20234 then
Private funds: no history
RAUM +43% over the last fiscal year+30% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Feb 13, 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $55.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $625,972derivedHNW RAUM over HNW clients
- Average account
- $369,011derivedRAUM 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
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +43%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 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, selection of other advisersreportedItem 5.G
- Wrap fee program
- $235MreportedItem 5.I
- Custody
- $84.6M, 267 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)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$222M99%
- Corporations and businesses$1.3M0.6%
- Individual clients
- n/areported
- HNW clients
- 354reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 604reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $12.5M sponsored, $223M managedreported
- Custody of client assets
- $84.6M for 267 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=4.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K•••• L•• B•••••••Certified Financial Planner, Chartered Financial Consultant | Torrance, Ca | May 21, 2010 | 31 y | 3 |
| A••••• P••• S••••••Certified Financial Planner | Torrance, Ca | May 21, 2010 | 24 y | 3 |
| J•••••• W••••• W••••• | Torrance, Ca | Jan 20, 2017 | 13 y | 1 |
| C•••••••• Y• C••• | Torrance, Ca | Apr 22, 2021 | 25 y | 3 |
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
- C•••••••• Y• C••• from L•• F•••••••• L••Apr 22, 2021 · Other
- J•••••• W••••• W••••• from M••••• S••••••Jan 20, 2017 · Other
- A••••• P••• S•••••• from M••••• S••••••May 21, 2010 · Other
- K•••• L•• B••••••• from M••••• S••••••May 21, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••••• K••••• L•• · Presidentcontrolsince 05/2010 · owns 50% to 75%
- S••••••• A•••••• P••• · Vice President And Chief Compliance Officercontrolsince 05/2010 · 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
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Torrance, Ca · principal | 4 | 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
- RAUM up 25 %Change between filings · filing Feb 13, 2026RAUM (Item 5.F) moved from $156,006,704 to $222,882,492 (+43.0%) between the annual amendments of 2025-02-04 and 2026-02-13; the peer median change was +15.0% (4549 comparable advisers, 94.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,549) · 94% percentile
What changed
consecutive filings, newest first
- Accounts · 507 to 604Oct 28, 2025 to Feb 13, 2026
- Corporate clients · 5 to 4Oct 28, 2025 to Feb 13, 2026
- HNW clients · 319 to 354Oct 28, 2025 to Feb 13, 2026
- Assets in custody · $62.1M to $84.6MOct 28, 2025 to Feb 13, 2026
- Discretionary RAUM · $156M to $223MOct 28, 2025 to Feb 13, 2026
- HNW RAUM · $153M to $222MOct 28, 2025 to Feb 13, 2026
- RAUM · $156M to $223MOct 28, 2025 to Feb 13, 2026
- Wrap assets (manager) · $146M to $223MOct 28, 2025 to Feb 13, 2026
- Wrap assets (sponsor) · $0 to $12.5MOct 28, 2025 to Feb 13, 2026
- Financial planning clients · 0 to 0Feb 4, 2025 to Oct 28, 2025
- Related broker-dealer · true to falseFeb 4, 2025 to Oct 28, 2025
- Accounts · 506 to 507Mar 25, 2024 to Feb 4, 2025
- Corporate clients · 4 to 5Mar 25, 2024 to Feb 4, 2025
- HNW clients · 331 to 319Mar 25, 2024 to Feb 4, 2025
- Assets in custody · $50.6M to $62.1MMar 25, 2024 to Feb 4, 2025
- Financial planning clients · 1-10 to 0Mar 25, 2024 to Feb 4, 2025
- Discretionary RAUM · $137M to $156MMar 25, 2024 to Feb 4, 2025
- HNW RAUM · $133M to $153MMar 25, 2024 to Feb 4, 2025
- RAUM · $137M to $156MMar 25, 2024 to Feb 4, 2025
- Wrap assets (manager) · $129M to $146MMar 25, 2024 to Feb 4, 2025
- Wrap assets (sponsor) · $7.4M to $0Mar 25, 2024 to Feb 4, 2025
- Accounts · 487 to 506Mar 8, 2023 to Mar 25, 2024
- Corporate clients · unset to 4.0Mar 8, 2023 to Mar 25, 2024
- HNW clients · 181 to 331Mar 8, 2023 to Mar 25, 2024
- Individual clients · 71.0 to unsetMar 8, 2023 to Mar 25, 2024
- Assets in custody · $35.5M to $50.6MMar 8, 2023 to Mar 25, 2024
- Discretionary RAUM · $101M to $137MMar 8, 2023 to Mar 25, 2024
- HNW RAUM · $98.5M to $133MMar 8, 2023 to Mar 25, 2024
- Individual RAUM · 2764469.0 to unsetMar 8, 2023 to Mar 25, 2024
- RAUM · $101M to $137MMar 8, 2023 to Mar 25, 2024
- Related broker-dealer · false to trueMar 8, 2023 to Mar 25, 2024
- Wrap assets (manager) · $5.6M to $129MMar 8, 2023 to Mar 25, 2024
- Wrap assets (sponsor) · $0 to $7.4MMar 8, 2023 to Mar 25, 2024
- Accounts · 442 to 487Mar 23, 2022 to Mar 8, 2023
- HNW clients · 208 to 181Mar 23, 2022 to Mar 8, 2023
- Individual clients · 89 to 71Mar 23, 2022 to Mar 8, 2023
- Assets in custody · $30.0M to $35.5MMar 23, 2022 to Mar 8, 2023
- Discretionary RAUM · $104M to $101MMar 23, 2022 to Mar 8, 2023
- HNW RAUM · $77.0M to $98.5MMar 23, 2022 to Mar 8, 2023
- Individual RAUM · $32.0M to $2.8MMar 23, 2022 to Mar 8, 2023
Signals
1 dated events
- T•••••• W••••• M••••••••• filed its initial SEC registration (Form ADV)Mar 23, 2022 · 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
- i•••@t•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- c••••••@t•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- c••••••••@t•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- l•••@t•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 310-606-2084reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 310-906-0517reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 310-504-1112reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/T••••••-WEALTH-MANAGEMENTreportedpublic record, Form ADV, Sep 19, 2026
- Website
- T••••••WEALTH.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 310-935-0275reportedpublic record, Form ADV, Feb 13, 2026
- Contact form
- t•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- t•••••••••.comreportedpublished 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
- $55.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026