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••• N•••••• W••••• M•••••••••

Independent wealth managerSEC-registered· Huntington Beach, Californiawebsite

Independent wealth manager, based in Huntington Beach, California, reporting $355M of regulatory assets across 2 registered advisors.

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

As of 2026-05-15 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $355M
Advisors: 2
Net advisor flow, 12 months: 0 (0 in, 0 out)
RAUM change, last fiscal year: +18%
Private clients: 100% of RAUM, $355M

Advisors (2)Advisor movement Where the RAUM sits

As of 2026-05-15 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Why this matters

Reported RAUM grew +18% over the last fiscal year, to $355M.
2026-05-15
RAUM a year earlier $302MRAUM now $355M
5 published business contact points are on record, each with its source.
Contact points 5

Every filed figure, and the identifiersCRD 159002 · SEC 801-110283 · 32 filingsShow

CRD 159002SEC 801-110283Legal name C••• N•••••• W••••• M••••••••• L••First filing on the tape Nov 10, 2011, latest May 15, 2026SEC status approved since Apr 3, 2017IAPD

RAUM

$355M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$355M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$177M

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

32 filings and snapshots on the tape

RAUM$355M as of May 15, 2026

Jan 25, 2012$43.3M then

HNW client RAUM$264M as of May 15, 2026

Mar 29, 2018$52.2M then

State-registered IARs (5.B.3)2 as of May 15, 2026

Jan 25, 20120 then

Employees (5.A)2 as of May 15, 2026

Mar 29, 20182 then

Private funds: no history

RAUM +18% over the last fiscal year+21% a year over threeIARs 2 to 2

Practice profile

derived from the filing of May 15, 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

RAUM per advisor: $177MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 210derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.4MderivedHNW RAUM over HNW clients
Average account: $320,340derivedRAUM 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: 1.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year: +18%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +7.7%derived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
Custody: $75.6M, 160 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$264M74%
Individuals$91.3M26%

Individual clients: 311reported
HNW clients: 109reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 1,108reported
Financial planning clients: 11-25reported
Wrap fee programs: noreported
Custody of client assets: $75.6M for 160 clientsreported
Compensation: % of AUMreported
Class basis: private_client_share=1.0 fund_share=0.0 institutional_share=0.0 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
B•••• M•••••• C•••Certified Financial Planner	Sherman Oaks, Ca	Sep 30, 2011	26 y	2
D••••• S•••• N••••••Certified Financial Planner	Huntington Beach, Ca	Oct 5, 2011	30 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••••• S•••• N•••••• from L•• F•••••••• L••
Oct 5, 2011 · Other
B•••• M•••••• C••• from L•• F•••••••• L••
Sep 30, 2011 · Other

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

C•••• B••••• M•••••• · Chief Compliance Officercontrol
since 01/2023 · owns less than 5%
C•••• B••••• M•••••• · Shareholdercontrol
since 05/2013 · owns 75% or more of B•••• C••• C••• I•••
N••••••• D•••••• S•••• · Shareholdercontrol
since 05/2013 · owns 75% or more of D••••• N•••••• C••• I•••

Entity owners

B•••• C••• C••• I••• · Managing Partner
direct · owns 50% to 75%
D••••• N•••••• C••• I••• · Managing Partner
direct · owns 50% to 75%

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

, 1 employees

What changed

consecutive filings, newest first

Accounts · 1,089 to 1,108
Oct 16, 2025 to Feb 18, 2026
HNW clients · 98 to 109
Oct 16, 2025 to Feb 18, 2026
Individual clients · 292 to 311
Oct 16, 2025 to Feb 18, 2026
Assets in custody · $69.2M to $75.6M
Oct 16, 2025 to Feb 18, 2026
Discretionary RAUM · $302M to $355M
Oct 16, 2025 to Feb 18, 2026
HNW RAUM · $220M to $264M
Oct 16, 2025 to Feb 18, 2026
Individual RAUM · $81.2M to $91.3M
Oct 16, 2025 to Feb 18, 2026
RAUM · $302M to $355M
Oct 16, 2025 to Feb 18, 2026
Accounts · 1,059 to 1,089
Oct 31, 2024 to Feb 16, 2025
HNW clients · 79 to 98
Oct 31, 2024 to Feb 16, 2025
Individual clients · 305 to 292
Oct 31, 2024 to Feb 16, 2025
Assets in custody · $76.0M to $69.2M
Oct 31, 2024 to Feb 16, 2025
Financial planning clients · 11-25 to 11-25
Oct 31, 2024 to Feb 16, 2025
Discretionary RAUM · $249M to $302M
Oct 31, 2024 to Feb 16, 2025
HNW RAUM · $165M to $220M
Oct 31, 2024 to Feb 16, 2025
Individual RAUM · $83.7M to $81.2M
Oct 31, 2024 to Feb 16, 2025
RAUM · $249M to $302M
Oct 31, 2024 to Feb 16, 2025
Other offices · 2 to 1
Feb 23, 2024 to Oct 31, 2024
Accounts · 1,036 to 1,059
Nov 1, 2023 to Feb 23, 2024
HNW clients · 76 to 79
Nov 1, 2023 to Feb 23, 2024
Individual clients · 295 to 305
Nov 1, 2023 to Feb 23, 2024
Assets in custody · $35.9M to $76.0M
Nov 1, 2023 to Feb 23, 2024
Discretionary RAUM · $198M to $249M
Nov 1, 2023 to Feb 23, 2024
HNW RAUM · $123M to $165M
Nov 1, 2023 to Feb 23, 2024
Individual RAUM · $74.8M to $83.7M
Nov 1, 2023 to Feb 23, 2024
RAUM · $198M to $249M
Nov 1, 2023 to Feb 23, 2024
HQ city · LONG BEACH to HUNTINGTON BEACH
Feb 16, 2023 to Oct 5, 2023
Accounts · 1,028 to 1,036
Mar 30, 2022 to Feb 16, 2023
HNW clients · 101 to 76
Mar 30, 2022 to Feb 16, 2023
Individual clients · 284 to 295
Mar 30, 2022 to Feb 16, 2023
Assets in custody · $34.9M to $35.9M
Mar 30, 2022 to Feb 16, 2023
Discretionary RAUM · $254M to $198M
Mar 30, 2022 to Feb 16, 2023
HNW RAUM · $179M to $123M
Mar 30, 2022 to Feb 16, 2023
Individual RAUM · $74.0M to $74.8M
Mar 30, 2022 to Feb 16, 2023
Pension RAUM · 1500073.0 to unset
Mar 30, 2022 to Feb 16, 2023
RAUM · $254M to $198M
Mar 30, 2022 to Feb 16, 2023
Accounts · 1,043 to 1,028
Nov 3, 2021 to Mar 30, 2022
HNW clients · 70 to 101
Nov 3, 2021 to Mar 30, 2022
Individual clients · 274 to 284
Nov 3, 2021 to Mar 30, 2022
Assets in custody · $30.2M to $34.9M
Nov 3, 2021 to Mar 30, 2022

Signals

1 dated events

••• Locked
Mar 27, 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: ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
Website: ••• Lockedreportedpublic record, Form ADV, May 15, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, May 15, 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: $177Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026