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••••••••• A•••••••• L••
Latest filing Jun 17, 2026
First filing on the tape Oct 24, 2023 · 29 filings
SEC status approved since Nov 30, 2023
RAUM
$58.3M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
81%
$47.3M individuals and HNW
Advisors
33
registered through the firm on IAPD
RAUM per advisor
$1.8M
derived; firm RAUM over IAPD count
Employees
28
27 advisory (5.B.1)
Offices
15
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$58.3M as of Jun 17, 2026
Feb 20, 2024$39.9M then
HNW client RAUM$28.9M as of Jun 17, 2026
Feb 20, 2024$12.3M then
State-registered IARs (5.B.3)23 as of Jun 17, 2026
Feb 20, 202428 then
Employees (5.A)28 as of Jun 17, 2026
Feb 20, 202434 then
Private funds1 as of Dec 9, 2025
Feb 20, 20241 then
RAUM +25% over the last fiscal yearIARs 25 to 23offices 14 to 15
Practice profile
derived from the filing of Jun 17, 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
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $1.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 3derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $302,281derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 16%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.8derivedItem 5.A over advisors
- Advisors per office
- 2.1derived16 offices incl. principal (1.F.5)
- RAUM growth, one year
- +25%derivedbetween the last two annual amendments
- Advisor growth, one year
- -8.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -17%derived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, otherreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$28.9M50%
- Individuals$18.4M31%
- Pension and profit-sharing plans$9.5M16%
- Corporations and businesses$1.5M2.6%
- Charitable organizations$240.0%
- Individual clients
- 99reported
- HNW clients
- 15reported
- Pension plan clients
- 62reported
- Charitable clients
- 1reported
- Accounts
- 193reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.81 fund_share=0.0 institutional_share=0.16 related_bd=true related_bank=false bd_reps=21.0derived
Advisors registered through the firm
34 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| P••••• C••••••• H•Certified Financial Planner | Monrovia, Ca | Sep 12, 2014 | 31 y | 1 |
| S•••••••• D•••• L•••Certified Financial Planner | Monrovia, Ca | Sep 12, 2014 | 25 y | 0 |
| P•••••• I•••• C••••Certified Financial Planner | Monrovia, Ca | Sep 12, 2014 | 33 y | 0 |
| B••• J•••••••• L••• | Monrovia, Ca | Aug 20, 2019 | 11 y | 0 |
| X•• G•• | Monrovia, Ca | Mar 12, 2020 | 10 y | 0 |
| E••••• H•••• | Monrovia, Ca | Jun 23, 2020 | 10 y | 1 |
| J••••• H••••••••• L•• | Monrovia, Ca | Jan 15, 2021 | 38 y | 7 |
| S••••• S••••• P••••••••• | Los Altos, Ca | Sep 1, 2021 | 14 y | 1 |
| Y••• W•••Certified Financial Planner | Monrovia, Ca | Sep 7, 2021 | 10 y | 0 |
| Y••• L• W• | Monrovia, Ca | Nov 15, 2021 | 10 y | 0 |
| C••••••• Z•••• | Fremont, Ca | Jun 7, 2022 | 10 y | 0 |
| Q• F••• | Monrovia, Ca | Aug 11, 2022 | 10 y | 0 |
| Y•• L•Chartered Financial Analyst | Monrovia, Ca | Jan 31, 2023 | 14 y | 0 |
| Z••••• W••• | Pasadena, Ca | Mar 16, 2023 | 12 y | 1 |
| M•••••• J••••• L••• | Monrovia, Ca | Mar 16, 2023 | 25 y | 1 |
| H••• D••• | Worcester, Ma | Jul 6, 2023 | 10 y | 1 |
| S•••••• L• | Monrovia, Ca | Aug 18, 2023 | 10 y | 1 |
| P••••••• W• H•••••Certified Financial Planner | Monrovia, Ca | Aug 22, 2023 | 17 y | 1 |
| S•••• C••• L•Chartered Financial Analyst | Monrovia, Ca | Nov 22, 2023 | 11 y | 0 |
| L• Y•Certified Financial Planner | Monrovia, Ca | Jul 17, 2025 | 12 y | 1 |
| J•••• H•••Certified Financial Planner | Cary, Nc | Jul 18, 2025 | 10 y | 0 |
| F•••••• C•••Certified Financial Planner | Houston, Tx | Jul 30, 2025 | 12 y | 1 |
| J••••• S•••Certified Financial Planner | Needham, Ma | Nov 17, 2025 | 20 y | 0 |
| P•••••• W•••Certified Financial Planner | Monrovia, Ca | Nov 18, 2025 | 10 y | 0 |
| X••••••• D••Chartered Financial Analyst | Monrovia, Ca | Dec 12, 2025 | 9 y | 2 |
| L•• P••Chartered Financial Analyst | Monrovia, Ca | Feb 10, 2026 | 21 y | 0 |
| J••• L••Certified Financial Planner | Monrovia, Ca | Mar 6, 2026 | 13 y | 0 |
| Y• Z•••• | King Of Prussia, Pa | Mar 25, 2026 | 12 y | 1 |
| B•• H•••• | Flushing, Ny | Jun 2, 2026 | 12 y | 0 |
| Y•• Y••Chartered Financial Analyst | Edison, Nj | Jun 25, 2026 | 11 y | 0 |
| J•••••• W•••Certified Financial Planner | Monrovia, Ca | Jun 30, 2026 | 11 y | 0 |
| B•••• G•••Certified Financial Planner | Monrovia, Ca | Jul 7, 2026 | 12 y | 0 |
| F•••••• Y•Certified Financial Planner | Bellevue, , Wa | Jul 28, 2026 | 10 y | 0 |
| Y•••••• Z••• | Oviedo, Fl | Sep 16, 2026 | 12 y | 0 |
Advisor movement
1 left, 2 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 3.0% of current headcount6 left over 36 months
Left, latest
- X••••• C••• to A•••••• I••••••••• M••••••••• L••Jan 12, 2026 · Other
- Y••• E••• T•• to A•••••• A••••••• S•••••••Jul 31, 2025 · RIA to affiliated broker-dealer or bank
- S••••• L• to E••••• J••••May 15, 2025 · RIA to affiliated broker-dealer or bank
- K••••••• Y• M•• C••• to S•••••••• W•••••• L••Jan 21, 2025 · RIA to RIA
- S•••• J•• to G•••••••• W••••• M••••••••• L••Dec 24, 2024 · RIA to a state-registered adviser
- R•••••• Z•• to J••• M••••• S••••••••• L••Jun 13, 2024 · RIA to wirehouse
- Z•••• Y• to E••••• J••••Sep 11, 2023 · RIA to affiliated broker-dealer or bank
- A••• Y••• to W••••• E••••••••• A••••••• S•••••••• L••Jan 4, 2023 · RIA to RIA
- M•••••• H•••••••• F••• to G•••••••• W••••• M••••••••• L••Jun 30, 2022 · RIA to a state-registered adviser
- M•••••• J••••• L••• to G•••••••• W••••• M••••••••• L••Jun 30, 2022 · RIA to a state-registered adviser
- D••••• W••• to C•••••• S••••• • C••• I•••Mar 9, 2022 · RIA to affiliated broker-dealer or bank
- F••••••• M•••• H•• to N•••• C•••••• G••••• L••Feb 1, 2022 · RIA to a state-registered adviser
- C•••••• X•• to P•••••••• A•••••••Feb 1, 2022 · RIA to affiliated broker-dealer or bank
- M••••••••• G••••• to N••••••••• M••••• I••••••••• S•••••••••Jul 29, 2021 · Other
- P• Y••• C••• to I••••••••• F•••••••• G••••• L••Jul 16, 2021 · RIA to affiliated broker-dealer or bank
Joined, latest
- Y• Z•••• from S•• G••••• L••Mar 25, 2026 · RIA to RIA
- X••••••• D•• from I••••••••• F•••••••• G••••• L••Dec 12, 2025 · Affiliated broker-dealer or bank to independent RIA
- F•••••• C••• from P••• A••••• S••••••••• L••Jul 30, 2025 · Affiliated broker-dealer or bank to independent RIA
- L• Y• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jul 17, 2025 · Wirehouse to independent RIA
- K••••••• Y• M•• C••• from C•••••• S••••• • C••• I•••Nov 6, 2024 · Affiliated broker-dealer or bank to independent RIA
- Y••• E••• T•• from C•••••• S••••• • C••• I•••Nov 15, 2023 · Affiliated broker-dealer or bank to independent RIA
- P••••••• W• H••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Aug 22, 2023 · Wirehouse to independent RIA
- S•••••• L• from T••••••••• F•••••••• A•••••••• L••Aug 18, 2023 · Affiliated broker-dealer or bank to independent RIA
- R•••••• Z•• from T••••• A••••••• S•••••••• I•••Aug 17, 2022 · Affiliated broker-dealer or bank to independent RIA
- S••••• S••••• P••••••••• from P•••• I•••••••Sep 1, 2021 · Other
- J••••• H••••••••• L•• from C••••• I••••••••• A••••••• L••Jan 15, 2021 · Affiliated broker-dealer or bank to independent RIA
- E••••• H•••• from P••• C•••••• W••••• M••••••••• L••Jun 23, 2020 · Other
- Y••••• F•• from C•••••••• I••••••••• R••••••• A•••••••• I•••May 5, 2020 · Affiliated broker-dealer or bank to independent RIA
- C•••••• X•• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Apr 27, 2020 · Wirehouse to independent RIA
- P• Y••• C••• from T••••••••• F•••••••• A•••••••• L••Apr 25, 2018 · Affiliated broker-dealer or bank to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for G•••••••• W••••• M••••••••• L••Jun 30, 2022 · Monrovia, Ca
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| T••••• S••••••••• A•••• L• | Hedge Fund | $1.7M | 3 | Oct 24, 2023 |
Owners and control persons
Schedule A and B, latest filing
- C•••• C•••••• · Chief Investment Officercontrolsince 03/2021 · owns less than 5%
- H•• P•••••• C••••••• · Chief Executive Officercontrolsince 09/2013 · owns 75% or more
- C•••• X••••• · Chief Compliance Officersince 12/2024 · owns less than 5%
- L•••• S••••••••• D•••• · Shareholdersince 09/2013 · owns 10% to 25%
Related persons
Schedule D 7.A
- G•••••••• S••••••••• I•••broker-dealern
- G•••••••• W••••• M••••••••• L••investment advisern
- T••••••••• I•••••••• A•••••• I•••real estaten
- T••••• I••••••••• M••••••••• L••investment advisern
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Monrovia, Ca · principal | 29 | 9 | 1 | ||
| Cary, Nc | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Bellevue, WA1 employees
- Cary, NC1 employees
- Casper, WY1 employees
- Duluth, GA1 employees
- Edison, NJ1 employees
- Flushing, NY1 employees
- Honolulu, HI1 employees
- Houston, TX1 employees
- King Of Prussia, PA1 employees
- Las Vegas, NV1 employees
- Naperville, IL1 employees
- Newton, MA1 employees
- Plymouth, MI1 employees
- Rockville, MD1 employees
What changed
consecutive filings, newest first
- Accounts · 226 to 193Dec 9, 2025 to Mar 26, 2026
- Advisory employees · 26 to 27Dec 9, 2025 to Mar 26, 2026
- Advisory activities · 6 to 5Dec 9, 2025 to Mar 26, 2026
- BD registered reps · 20 to 21Dec 9, 2025 to Mar 26, 2026
- Corporate clients · 5 to 16Dec 9, 2025 to Mar 26, 2026
- HNW clients · 10 to 15Dec 9, 2025 to Mar 26, 2026
- Individual clients · 127 to 99Dec 9, 2025 to Mar 26, 2026
- Pension plan clients · 0 to 62Dec 9, 2025 to Mar 26, 2026
- Pooled vehicle clients · 1 to 0Dec 9, 2025 to Mar 26, 2026
- Employees · 29 to 28Dec 9, 2025 to Mar 26, 2026
- Insurance-licensed employees · 0 to 2Dec 9, 2025 to Mar 26, 2026
- State-registered IARs · 25 to 23Dec 9, 2025 to Mar 26, 2026
- Private funds · 1 to unsetDec 9, 2025 to Mar 26, 2026
- Discretionary RAUM · $46.8M to $58.3MDec 9, 2025 to Mar 26, 2026
- HNW RAUM · $16.8M to $28.9MDec 9, 2025 to Mar 26, 2026
- Individual RAUM · $24.1M to $18.4MDec 9, 2025 to Mar 26, 2026
- Pension RAUM · $0 to $9.5MDec 9, 2025 to Mar 26, 2026
- Pooled vehicle RAUM · $2.8M to $0Dec 9, 2025 to Mar 26, 2026
- RAUM · $46.8M to $58.3MDec 9, 2025 to Mar 26, 2026
- Other offices · 14 to 15Sep 16, 2025 to Dec 9, 2025
- Advisory employees · 23 to 26Jul 31, 2025 to Sep 16, 2025
- BD registered reps · 18 to 20Jul 31, 2025 to Sep 16, 2025
- Assets in custody · $2.8M to $0Jul 31, 2025 to Sep 16, 2025
- Custody of client assets · true to falseJul 31, 2025 to Sep 16, 2025
- Employees · 25 to 29Jul 31, 2025 to Sep 16, 2025
- State-registered IARs · 22 to 25Jul 31, 2025 to Sep 16, 2025
- Private funds · 2 to 1Jul 31, 2025 to Sep 16, 2025
- Advisory employees · 24 to 23Jun 11, 2025 to Jul 31, 2025
- Employees · 26 to 25Jun 11, 2025 to Jul 31, 2025
- Financial planning clients · 101-250 to 101-250Jun 11, 2025 to Jul 31, 2025
- State-registered IARs · 23 to 22Jun 11, 2025 to Jul 31, 2025
- Advisory employees · 26 to 24Mar 12, 2025 to May 16, 2025
- BD registered reps · 20 to 18Mar 12, 2025 to May 16, 2025
- Employees · 29 to 26Mar 12, 2025 to May 16, 2025
- State-registered IARs · 25 to 23Mar 12, 2025 to May 16, 2025
- Accounts · 185 to 226Jan 31, 2025 to Feb 24, 2025
- Advisory employees · 28 to 26Jan 31, 2025 to Feb 24, 2025
- BD registered reps · 21 to 20Jan 31, 2025 to Feb 24, 2025
- HNW clients · 8 to 10Jan 31, 2025 to Feb 24, 2025
- Individual clients · 100 to 127Jan 31, 2025 to Feb 24, 2025
Signals
17 dated events
- Y•••••• Z••• registered as an investment adviser representative at T••••••••• A•••••••• L••Sep 16, 2026 · Advisor registered · fact
- X••••• C••• left T••••••••• A•••••••• L•• for A•••••• I••••••••• M••••••••• L•• (registered 2026-05-06)Jan 12, 2026 · advisor firm c••••e · fact
- Y••• E••• T•• left T••••••••• A•••••••• L•• for A•••••• A••••••• S••••••• (registered 2025-07-29)Jul 31, 2025 · advisor firm c••••e · fact
- S••••• L• left T••••••••• A•••••••• L•• for E••••• J•••• (registered 2025-05-09)May 15, 2025 · advisor firm c••••e · fact
- K••••••• Y• M•• C••• left T••••••••• A•••••••• L•• for S•••••••• W•••••• L•• (registered 2025-01-24)Jan 21, 2025 · advisor firm c••••e · fact
- S•••• J•• left T••••••••• A•••••••• L•• for G•••••••• W••••• M••••••••• L•• (registered 2026-08-03)Dec 24, 2024 · advisor firm c••••e · fact
- Hsioh-Tsuei Joseph Lee (Compliance Supervisor) no longer on Schedule A of T••••••••• A•••••••• L•• (listed 2024-09-18, absent 2024-12-12)Dec 12, 2024 · Control person left · inference
- R•••••• Z•• left T••••••••• A•••••••• L•• for J••• M••••• S••••••••• L•• (registered 2024-06-20)Jun 13, 2024 · advisor firm c••••e · fact
- T••••••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Oct 24, 2023 · First SEC registration · fact
- Z•••• Y• left T••••••••• A•••••••• L•• for E••••• J•••• (registered 2023-10-24)Sep 11, 2023 · advisor firm c••••e · fact
- A••• Y••• left T••••••••• A•••••••• L•• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2024-04-01)Jan 4, 2023 · advisor firm c••••e · fact
- M•••••• J••••• L••• left T••••••••• A•••••••• L•• for G•••••••• W••••• M••••••••• L•• (registered 2023-03-16)Jun 30, 2022 · advisor firm c••••e · fact
- M•••••• H•••••••• F••• left T••••••••• A•••••••• L•• for G•••••••• W••••• M••••••••• L•• (registered 2024-04-08)Jun 30, 2022 · advisor firm c••••e · fact
- 2 advisors left T••••••••• A•••••••• L•• (Monrovia, CA) for G•••••••• W••••• M••••••••• L•• on the same dayJun 30, 2022 · Team lift-out · derived
- D••••• W••• left T••••••••• A•••••••• L•• for C•••••• S••••• • C••• I••• (registered 2022-03-29)Mar 9, 2022 · advisor firm c••••e · fact
- C•••••• X•• left T••••••••• A•••••••• L•• for P•••••••• A••••••• (registered 2024-01-03)Feb 1, 2022 · advisor firm c••••e · fact
- F••••••• M•••• H•• left T••••••••• A•••••••• L•• for N•••• C•••••• G••••• L•• (registered 2021-09-29)Feb 1, 2022 · advisor firm c••••e · 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
- Firm profile
- linkedin.com/company/transglobal-holding-coreportedpublic record, Form ADV, Sep 18, 2026
- Website
- transglobaladvisory.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 626-447-7888reportedpublic record, Form ADV, Jun 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
- $1.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026