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•• C•••• G•••• A•••• M•••••••••
Legal name P•••••• I••••••••• I•••
Latest filing Mar 6, 2026
First filing on the tape Sep 5, 2012 · 28 filings
SEC status approved since Sep 28, 2012
RAUM
$344M
reported, Item 5.F
Discretionary
87%
of RAUM
Private clients
99%
$340M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$115M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$344M as of Mar 6, 2026
Jan 17, 2013$161M then
HNW client RAUM$257M as of Mar 6, 2026
Mar 5, 2018$170M then
State-registered IARs (5.B.3)3 as of Mar 6, 2026
Jan 17, 20133 then
Employees (5.A)5 as of Mar 6, 2026
Jan 17, 20133 then
Private funds: no history
RAUM +18% over the last fiscal year+18% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 6, 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
- $115MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 153derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $437,568derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 87%derivedof RAUM
- Institutional
- 1.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 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
- +12%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 5.G
- Custody
- $103M, 163 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$257M75%
- Individuals$83.3M24%
- Pension and profit-sharing plans$3.6M1.0%
- Corporations and businesses$106,2660.0%
- Individual clients
- 284reported
- HNW clients
- 174reported
- Pension plan clients
- 6reported
- Charitable clients
- 0reported
- Accounts
- 786reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $103M for 163 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| E••• T••• C••••••••• | Dana Point, Ca | Sep 28, 2012 | 32 y | 1 |
| R•••••• M••••• C••••Certified Financial Planner | Dana Point, Ca | Oct 1, 2012 | 40 y | 2 |
| B•••••• C••••Certified Financial Planner | Dana Point, Ca | Aug 7, 2019 | 14 y | 1 |
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
- R•••••• T•••••• T••••• to T••••••••Aug 16, 2016 · Other
Joined, latest
- B•••••• C•••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Aug 7, 2019 · Wirehouse to independent RIA
- R•••••• T•••••• T••••• from W•••• F•••• A•••••••Jan 17, 2013 · Other
- R•••••• M••••• C•••• from W•••• F•••• A•••••••Oct 1, 2012 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- E••• T••• C••••••••• from W•••• F•••• A•••••••Sep 28, 2012 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••••• E•••• T••• · President & Chief Compliance Officercontrolsince 11/2005 · owns 10% to 25%
- C••••• M••••••• A•••••••• · Corporate Secretarycontrolsince 11/2005 · owns less than 5%
- C••••• R••••••• M••••• · Founder & Chief Executive Officercontrolsince 11/2005 · 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 |
|---|---|---|---|---|---|
| Dana Point, Ca · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- compensation changedChange between filings · filing Mar 6, 2026hourly charges (Item 5.E.2): yes on the filing of 2025-03-27, no on the filing of 2026-03-06peers: independent wealth managers, $100M to $500M (5,678)
- compensation changedChange between filings · filing Mar 6, 2026performance-based compensation (Item 5.E.6): yes on the filing of 2025-03-27, no on the filing of 2026-03-06peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 694 to 786Mar 27, 2025 to Mar 6, 2026
- HNW clients · 116 to 174Mar 27, 2025 to Mar 6, 2026
- Individual clients · 293 to 284Mar 27, 2025 to Mar 6, 2026
- Pension plan clients · 7 to 6Mar 27, 2025 to Mar 6, 2026
- Assets in custody · $96.0M to $103MMar 27, 2025 to Mar 6, 2026
- Financial planning clients · 1-10 to 26-50Mar 27, 2025 to Mar 6, 2026
- Discretionary RAUM · $246M to $301MMar 27, 2025 to Mar 6, 2026
- HNW RAUM · $197M to $257MMar 27, 2025 to Mar 6, 2026
- Individual RAUM · $89.8M to $83.3MMar 27, 2025 to Mar 6, 2026
- Non-discretionary RAUM · $45.9M to $43.1MMar 27, 2025 to Mar 6, 2026
- Pension RAUM · $4.4M to $3.6MMar 27, 2025 to Mar 6, 2026
- RAUM · $292M to $344MMar 27, 2025 to Mar 6, 2026
- Accounts · 657 to 694Mar 21, 2024 to Mar 27, 2025
- HNW clients · 94 to 116Mar 21, 2024 to Mar 27, 2025
- Individual clients · 304 to 293Mar 21, 2024 to Mar 27, 2025
- Assets in custody · $97.0M to $96.0MMar 21, 2024 to Mar 27, 2025
- Financial planning clients · 1-10 to 1-10Mar 21, 2024 to Mar 27, 2025
- Discretionary RAUM · $197M to $246MMar 21, 2024 to Mar 27, 2025
- HNW RAUM · $157M to $197MMar 21, 2024 to Mar 27, 2025
- Individual RAUM · $84.6M to $89.8MMar 21, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $48.9M to $45.9MMar 21, 2024 to Mar 27, 2025
- Pension RAUM · $3.2M to $4.4MMar 21, 2024 to Mar 27, 2025
- RAUM · $245M to $292MMar 21, 2024 to Mar 27, 2025
- Accounts · 618 to 657Mar 30, 2023 to Mar 21, 2024
- Corporate clients · 3 to 5Mar 30, 2023 to Mar 21, 2024
- HNW clients · 83 to 94Mar 30, 2023 to Mar 21, 2024
- Individual clients · 308 to 304Mar 30, 2023 to Mar 21, 2024
- Pension plan clients · 3 to 7Mar 30, 2023 to Mar 21, 2024
- Assets in custody · $61.4M to $97.0MMar 30, 2023 to Mar 21, 2024
- Discretionary RAUM · $167M to $197MMar 30, 2023 to Mar 21, 2024
- HNW RAUM · $131M to $157MMar 30, 2023 to Mar 21, 2024
- Individual RAUM · $78.7M to $84.6MMar 30, 2023 to Mar 21, 2024
- Non-discretionary RAUM · $45.0M to $48.9MMar 30, 2023 to Mar 21, 2024
- Pension RAUM · $2.3M to $3.2MMar 30, 2023 to Mar 21, 2024
- RAUM · $212M to $245MMar 30, 2023 to Mar 21, 2024
- Accounts · 614 to 618Nov 4, 2022 to Mar 30, 2023
- Corporate clients · 2 to 3Nov 4, 2022 to Mar 30, 2023
- HNW clients · 235 to 83Nov 4, 2022 to Mar 30, 2023
- Individual clients · 165 to 308Nov 4, 2022 to Mar 30, 2023
- Pension plan clients · 2 to 3Nov 4, 2022 to Mar 30, 2023
Signals
1 dated events
- T•• C•••• G•••• A•••• M••••••••• filed its initial SEC registration (Form ADV)Sep 5, 2012 · 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
- theclarkgroup@clarkgroupam.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 949-558-3898reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/THE-C••••-GROUP-ASSET-MANAGEMENT/ABOUT/reportedpublic record, Form ADV, Sep 19, 2026
- Website
- C••••GROUPAM.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 949-558-3898reportedpublic record, Form ADV, Mar 6, 2026
- Contact form
- clarkgroupam.com/contactreportedpublished by the firm, firm site, Sep 17, 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
- $115Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026