DFX Intelligence

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S•••••• A•••• M••••••••• I•••

Independent wealth managerSEC-registered1 private funds· Ventura, Californiawebsite

Independent wealth manager, based in Ventura, California, reporting $141M of regulatory assets across 1 registered advisors.

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

As of 2026-06-16 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $141M
Advisors: 1
Net advisor flow, 12 months: 0
RAUM change, 1 year: +7.5%
Private clients: 76%

See where advisers went See teams that moved

Advisors (1)Where the RAUM sits

As of 2026-06-16 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

+7.5%
RAUM, one year
RAUM $131M to $141M (+7.5%) on the Form ADV filed 16 Jun 2026, while advisors on the filing held at 1.
The one filed measure of whether clients are staying.
FactForm ADV Item 5History →

Every filed figure, and the identifiersCRD 170861 · SEC 801-129640 · 10 filingsShow

CRD 170861SEC 801-129640First filing on the tape Feb 6, 2024, latest Jun 16, 2026SEC status approved since Mar 7, 2024IAPD

RAUM

$141M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

76%

$107M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$141M

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

10 filings and snapshots on the tape

RAUM +7.5% over the last fiscal year · the tape starts Feb 6, 2024

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$141M as of Jun 16, 2026

Feb 14, 2025$131M then

HNW client RAUM$101M as of Jun 16, 2026

Feb 14, 2025$94.0M then

State-registered IARs (5.B.3)1 as of Jun 16, 2026

Feb 14, 20251 then

Employees (5.A)1 as of Jun 16, 2026

Feb 14, 20251 then

Private funds1 as of Jun 16, 2026

Nov 3, 20251 then

RAUM +7.5% over the last fiscal yearIARs 1 to 1

Practice profile

derived from the filing of Jun 16, 2026; every figure names its basis

Archetypes

The rule behind each archetype, and every derived figure2 rulesShow

RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
Solo or small team · one advisor, or a wealth manager with up to three advisors and one office, and at most 25 employees (Item 5.A)

RAUM per advisor: $141MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 32derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $6.0MderivedHNW RAUM over HNW clients
Average account: $932,182derivedRAUM 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: 1.0derived1 office incl. principal (1.F.5)
RAUM growth, one year: +7.5%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: -32%derived
Compensation: percentage of assets, fixed fees, performance-basedreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 5.G
Custody: $31.4M, 8 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)
a related person has custody of client cash (9.B.1.a)
a related person has custody of client securities (9.B.1.b)
marketing includes testimonials (5.L.1.c)

Where the RAUM sits

Form ADV Item 5.D, latest filing

72% high-net-worth individuals, 21% corporations and businesses, and 2 other client types

The breakdown by client type, and the client counts4 client typesShow

High-net-worth individuals$101M72%
Corporations and businesses$29.0M21%
Individuals$5.5M3.9%
Pooled investment vehicles$4.9M3.5%

Individual clients: 15reported
HNW clients: 17reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 151reported
Financial planning clients: 26-50reported
Wrap fee programs: noreported
Custody of client assets: $31.4M for 8 clientsreported
Compensation: % of AUM, fixed, performancereported
Class basis: RAUM: 76% private clients, 3% pooled funds, 0% institutions; no related broker-dealer; no related bankderived

Advisor movement

0 left over 36 months

0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

1 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry	Prior firms
R•• D•••••• S••••••Certified Financial Planner	Ventura, Ca	Apr 22, 2014	14 y	0

Private funds

1 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
S••••• 7• T••••••• S•••••••• F••• L•	Hedge Fund	$4.9M	4	Jun 16, 2026

Owners and control persons

Schedule A and B, latest filing

S••••••• R••• D•••••• · Ceo And Ccocontrol
since 02/2014 · owns 75% or more

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 130 to 151
Nov 3, 2025 to Feb 24, 2026
HNW clients · 15 to 17
Nov 3, 2025 to Feb 24, 2026
Individual clients · 16 to 15
Nov 3, 2025 to Feb 24, 2026
Assets in custody · $32.2M to $31.4M
Nov 3, 2025 to Feb 24, 2026
Financial planning clients · 11-25 to 26-50
Nov 3, 2025 to Feb 24, 2026

Full history · 31 changes

Discretionary RAUM · $141M to $141M
Nov 3, 2025 to Feb 24, 2026
HNW RAUM · $100.0M to $101M
Nov 3, 2025 to Feb 24, 2026
Individual RAUM · $5.8M to $5.5M
Nov 3, 2025 to Feb 24, 2026
Pooled vehicle RAUM · $5.0M to $4.9M
Nov 3, 2025 to Feb 24, 2026
RAUM · $141M to $141M
Nov 3, 2025 to Feb 24, 2026
Accounts · 121 to 130
Feb 14, 2025 to Nov 3, 2025
Advisory activities · 2 to 3
Feb 14, 2025 to Nov 3, 2025
HNW clients · 21 to 15
Feb 14, 2025 to Nov 3, 2025
Individual clients · 26 to 16
Feb 14, 2025 to Nov 3, 2025
Pooled vehicle clients · unset to 1.0
Feb 14, 2025 to Nov 3, 2025
Assets in custody · $43.8M to $32.2M
Feb 14, 2025 to Nov 3, 2025
Private funds · unset to 1
Feb 14, 2025 to Nov 3, 2025
Discretionary RAUM · $131M to $141M
Feb 14, 2025 to Nov 3, 2025
HNW RAUM · $94.0M to $100.0M
Feb 14, 2025 to Nov 3, 2025
Individual RAUM · $3.7M to $5.8M
Feb 14, 2025 to Nov 3, 2025
Pooled vehicle RAUM · unset to 5050000.0
Feb 14, 2025 to Nov 3, 2025
RAUM · $131M to $141M
Feb 14, 2025 to Nov 3, 2025
Accounts · 101 to 121
Jul 18, 2024 to Feb 14, 2025
HNW clients · 20 to 21
Jul 18, 2024 to Feb 14, 2025
Individual clients · 24 to 26
Jul 18, 2024 to Feb 14, 2025
Assets in custody · $49.1M to $43.8M
Jul 18, 2024 to Feb 14, 2025
Financial planning clients · 11-25 to 11-25
Jul 18, 2024 to Feb 14, 2025
Discretionary RAUM · $122M to $131M
Jul 18, 2024 to Feb 14, 2025
HNW RAUM · $77.8M to $94.0M
Jul 18, 2024 to Feb 14, 2025
Individual RAUM · $3.3M to $3.7M
Jul 18, 2024 to Feb 14, 2025
RAUM · $122M to $131M
Jul 18, 2024 to Feb 14, 2025

Signals

2 dated events

••• Locked
Jun 16, 2026 · private fund first reported · fact
••• Locked
Feb 6, 2024 · 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 16, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Website: ••• Lockedreportedpublic record, Form ADV, Jun 16, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Jun 16, 2026
Contact form: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: $141Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026