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••

Independent wealth managerMonrovia, CaliforniaCRD 168709SEC 801-129096websiteIAPD
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
NameBranchHere sinceIn industryPrior firms
P••••• C••••••• H•Certified Financial PlannerMonrovia, CaSep 12, 201431 y1
S•••••••• D•••• L•••Certified Financial PlannerMonrovia, CaSep 12, 201425 y0
P•••••• I•••• C••••Certified Financial PlannerMonrovia, CaSep 12, 201433 y0
B••• J•••••••• L•••Monrovia, CaAug 20, 201911 y0
X•• G••Monrovia, CaMar 12, 202010 y0
E••••• H••••Monrovia, CaJun 23, 202010 y1
J••••• H••••••••• L••Monrovia, CaJan 15, 202138 y7
S••••• S••••• P•••••••••Los Altos, Ca Sep 1, 202114 y1
Y••• W•••Certified Financial PlannerMonrovia, CaSep 7, 202110 y0
Y••• L• W•Monrovia, Ca Nov 15, 202110 y0
C••••••• Z••••Fremont, Ca Jun 7, 202210 y0
Q• F•••Monrovia, CaAug 11, 202210 y0
Y•• L•Chartered Financial AnalystMonrovia, CaJan 31, 202314 y0
Z••••• W•••Pasadena, Ca Mar 16, 202312 y1
M•••••• J••••• L•••Monrovia, Ca Mar 16, 202325 y1
H••• D•••Worcester, Ma Jul 6, 202310 y1
S•••••• L•Monrovia, Ca Aug 18, 202310 y1
P••••••• W• H•••••Certified Financial PlannerMonrovia, Ca Aug 22, 202317 y1
S•••• C••• L•Chartered Financial AnalystMonrovia, Ca Nov 22, 202311 y0
L• Y•Certified Financial PlannerMonrovia, CaJul 17, 202512 y1
J•••• H•••Certified Financial PlannerCary, Nc Jul 18, 202510 y0
F•••••• C•••Certified Financial PlannerHouston, Tx Jul 30, 202512 y1
J••••• S•••Certified Financial PlannerNeedham, Ma Nov 17, 202520 y0
P•••••• W•••Certified Financial PlannerMonrovia, CaNov 18, 202510 y0
X••••••• D••Chartered Financial AnalystMonrovia, CaDec 12, 20259 y2
L•• P••Chartered Financial AnalystMonrovia, Ca Feb 10, 202621 y0
J••• L••Certified Financial PlannerMonrovia, Ca Mar 6, 202613 y0
Y• Z••••King Of Prussia, PaMar 25, 202612 y1
B•• H••••Flushing, NyJun 2, 202612 y0
Y•• Y••Chartered Financial AnalystEdison, NjJun 25, 202611 y0
J•••••• W•••Certified Financial PlannerMonrovia, CaJun 30, 202611 y0
B•••• G•••Certified Financial PlannerMonrovia, CaJul 7, 202612 y0
F•••••• Y•Certified Financial PlannerBellevue, , WaJul 28, 202610 y0
Y•••••• Z••• Oviedo, FlSep 16, 202612 y0
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
Joined, latest
Teams: two or more advisors moving together within fourteen days, from one state
Private funds
1 reported on Schedule D 7.B.(1)
FundTypeGross assetsOwnersFirst reported
T••••• S••••••••• A•••• L•Hedge Fund$1.7M3Oct 24, 2023
Owners and control persons
Schedule A and B, latest filing
  • C•••• C•••••• · Chief Investment Officercontrol
    since 03/2021 · owns less than 5%
  • H•• P•••••• C••••••• · Chief Executive Officercontrol
    since 09/2013 · owns 75% or more
  • C•••• X••••• · Chief Compliance Officer
    since 12/2024 · owns less than 5%
  • L•••• S••••••••• D•••• · Shareholder
    since 09/2013 · owns 10% to 25%
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Monrovia, Ca · principal2991
Cary, Nc200
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 193
    Dec 9, 2025 to Mar 26, 2026
  • Advisory employees · 26 to 27
    Dec 9, 2025 to Mar 26, 2026
  • Advisory activities · 6 to 5
    Dec 9, 2025 to Mar 26, 2026
  • BD registered reps · 20 to 21
    Dec 9, 2025 to Mar 26, 2026
  • Corporate clients · 5 to 16
    Dec 9, 2025 to Mar 26, 2026
  • HNW clients · 10 to 15
    Dec 9, 2025 to Mar 26, 2026
  • Individual clients · 127 to 99
    Dec 9, 2025 to Mar 26, 2026
  • Pension plan clients · 0 to 62
    Dec 9, 2025 to Mar 26, 2026
  • Pooled vehicle clients · 1 to 0
    Dec 9, 2025 to Mar 26, 2026
  • Employees · 29 to 28
    Dec 9, 2025 to Mar 26, 2026
  • Insurance-licensed employees · 0 to 2
    Dec 9, 2025 to Mar 26, 2026
  • State-registered IARs · 25 to 23
    Dec 9, 2025 to Mar 26, 2026
  • Private funds · 1 to unset
    Dec 9, 2025 to Mar 26, 2026
  • Discretionary RAUM · $46.8M to $58.3M
    Dec 9, 2025 to Mar 26, 2026
  • HNW RAUM · $16.8M to $28.9M
    Dec 9, 2025 to Mar 26, 2026
  • Individual RAUM · $24.1M to $18.4M
    Dec 9, 2025 to Mar 26, 2026
  • Pension RAUM · $0 to $9.5M
    Dec 9, 2025 to Mar 26, 2026
  • Pooled vehicle RAUM · $2.8M to $0
    Dec 9, 2025 to Mar 26, 2026
  • RAUM · $46.8M to $58.3M
    Dec 9, 2025 to Mar 26, 2026
  • Other offices · 14 to 15
    Sep 16, 2025 to Dec 9, 2025
  • Advisory employees · 23 to 26
    Jul 31, 2025 to Sep 16, 2025
  • BD registered reps · 18 to 20
    Jul 31, 2025 to Sep 16, 2025
  • Assets in custody · $2.8M to $0
    Jul 31, 2025 to Sep 16, 2025
  • Custody of client assets · true to false
    Jul 31, 2025 to Sep 16, 2025
  • Employees · 25 to 29
    Jul 31, 2025 to Sep 16, 2025
  • State-registered IARs · 22 to 25
    Jul 31, 2025 to Sep 16, 2025
  • Private funds · 2 to 1
    Jul 31, 2025 to Sep 16, 2025
  • Advisory employees · 24 to 23
    Jun 11, 2025 to Jul 31, 2025
  • Employees · 26 to 25
    Jun 11, 2025 to Jul 31, 2025
  • Financial planning clients · 101-250 to 101-250
    Jun 11, 2025 to Jul 31, 2025
  • State-registered IARs · 23 to 22
    Jun 11, 2025 to Jul 31, 2025
  • Advisory employees · 26 to 24
    Mar 12, 2025 to May 16, 2025
  • BD registered reps · 20 to 18
    Mar 12, 2025 to May 16, 2025
  • Employees · 29 to 26
    Mar 12, 2025 to May 16, 2025
  • State-registered IARs · 25 to 23
    Mar 12, 2025 to May 16, 2025
  • Accounts · 185 to 226
    Jan 31, 2025 to Feb 24, 2025
  • Advisory employees · 28 to 26
    Jan 31, 2025 to Feb 24, 2025
  • BD registered reps · 21 to 20
    Jan 31, 2025 to Feb 24, 2025
  • HNW clients · 8 to 10
    Jan 31, 2025 to Feb 24, 2025
  • Individual clients · 100 to 127
    Jan 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 day
    Jun 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