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
O••• P•••••• W••••• G••••• L••
Latest filing Feb 25, 2026
First filing on the tape Jun 10, 2014 · 10 filings
SEC status approved since Mar 20, 2025
RAUM
$128M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$128M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$42.7M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$128M as of Feb 25, 2026
Feb 24, 2025$102M then
HNW client RAUM$95.2M as of Feb 25, 2026
Feb 24, 2025$67.5M then
State-registered IARs (5.B.3)3 as of Feb 25, 2026
Feb 24, 20252 then
Employees (5.A)3 as of Feb 25, 2026
Feb 24, 20252 then
Private funds: no history
RAUM +25% over the last fiscal yearIARs 2 to 3
Practice profile
derived from the filing of Feb 25, 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
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $42.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 47derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $319,161derivedRAUM 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
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +25%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.4%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Wrap fee program
- $260MreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$95.2M74%
- Individuals$32.8M26%
- Individual clients
- 107reported
- HNW clients
- 35reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 401reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $130M sponsored, $130M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, hourlyreported
- 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
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• J•••• M••••••• | Orange, Ca | Jul 1, 2014 | 26 y | 1 |
| B•••••• D•••• C••••••Certified Financial Planner | Westlake Village, Ca | Dec 2, 2014 | 24 y | 1 |
| D•••• B•••••• G•••••• | Orange, Ca | Feb 13, 2025 | 23 y | 7 |
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•••• B•••••• G•••••• from U•• F•••••••• S••••••• I•••Feb 13, 2025 · Other
- B•••••• D•••• C•••••• from A••••••••• F•••••••• S•••••••• L••Dec 2, 2014 · Other
- M•••••• J•••• M••••••• from A••••••••• F•••••••• S•••••••• L••Jul 1, 2014 · Affiliated broker-dealer or bank to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••• B••••••• D•••• · Managing Membercontrolsince 07/2014 · owns 50% to 75%
- M•••••••• M••••••• J•••• · Member, Chief Compliance Officercontrolsince 07/2014 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Orange, Ca · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Los Angeles, CA
What changed
consecutive filings, newest first
- Accounts · 362 to 401May 6, 2025 to Feb 25, 2026
- Advisory employees · 2 to 3May 6, 2025 to Feb 25, 2026
- HNW clients · 28 to 35May 6, 2025 to Feb 25, 2026
- Individual clients · 112 to 107May 6, 2025 to Feb 25, 2026
- Employees · 2 to 3May 6, 2025 to Feb 25, 2026
- State-registered IARs · 2 to 3May 6, 2025 to Feb 25, 2026
- Discretionary RAUM · $102M to $128MMay 6, 2025 to Feb 25, 2026
- HNW RAUM · $67.5M to $95.2MMay 6, 2025 to Feb 25, 2026
- Individual RAUM · $34.6M to $32.8MMay 6, 2025 to Feb 25, 2026
- RAUM · $102M to $128MMay 6, 2025 to Feb 25, 2026
- Wrap assets (manager) · $102M to $130MMay 6, 2025 to Feb 25, 2026
- Wrap assets (sponsor) · $102M to $130MMay 6, 2025 to Feb 25, 2026
- Financial planning clients · 0 to 0Feb 24, 2025 to May 6, 2025
- Accounts · 148 to 362Dec 10, 2014 to Feb 24, 2025
- Advisory activities · 2 to 4Dec 10, 2014 to Feb 24, 2025
- HNW clients · unset to 28.0Dec 10, 2014 to Feb 24, 2025
- Individual clients · unset to 112.0Dec 10, 2014 to Feb 24, 2025
- Other offices · unset to 1.0Dec 10, 2014 to Feb 24, 2025
- Discretionary RAUM · $26.4M to $102MDec 10, 2014 to Feb 24, 2025
- HNW RAUM · unset to 67467566.0Dec 10, 2014 to Feb 24, 2025
- Individual RAUM · unset to 34565087.0Dec 10, 2014 to Feb 24, 2025
- RAUM · $26.4M to $102MDec 10, 2014 to Feb 24, 2025
- Wrap assets (manager) · unset to 102032653.0Dec 10, 2014 to Feb 24, 2025
- Wrap assets (sponsor) · unset to 102032653.0Dec 10, 2014 to Feb 24, 2025
- Accounts · 0 to 148Jul 3, 2014 to Oct 15, 2014
- Discretionary RAUM · $0 to $26.4MJul 3, 2014 to Oct 15, 2014
- RAUM · $0 to $26.4MJul 3, 2014 to Oct 15, 2014
Signals
1 dated events
- O••• P•••••• W••••• G••••• L•• filed its initial SEC registration (Form ADV)Jun 10, 2014 · 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
- Website
- O•••PWG.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 714-660-7490reportedpublic record, Form ADV, Feb 25, 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
- $42.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026