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
S•••• B•• F•••••••• P•••••••
Legal name S•••• B•• F•••••••• P••••••• G••••• I•••
Latest filing Jul 17, 2026
First filing on the tape Mar 15, 2017 · 21 filings
SEC status approved since Mar 24, 2017
RAUM
$115M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
99%
$114M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$57.4M
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$115M as of Jul 17, 2026
Mar 28, 2018$142M then
HNW client RAUM$98.8M as of Jul 17, 2026
Mar 28, 2018$128M then
State-registered IARs (5.B.3)2 as of Jul 17, 2026
Mar 28, 20182 then
Employees (5.A)5 as of Jul 17, 2026
Mar 28, 20183 then
Private funds: no history
RAUM +4.9% over the last fiscal year+0.4% a year over threeIARs 0 to 2
Practice profile
derived from the filing of Jul 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
- 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
- RAUM per advisor
- $57.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 25derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.7MderivedHNW RAUM over HNW clients
- Average account
- $791,894derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 1.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 0.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +4.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.4%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, publications, educational seminars, otherreportedItem 5.G
- 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)
- 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)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$98.8M86%
- Individuals$14.7M13%
- Charitable organizations$1.3M1.1%
- Individual clients
- 23reported
- HNW clients
- 27reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 145reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T••• T•••••• U••••••••Certified Financial Planner | Torrance, Ca | Apr 3, 2015 | 34 y | 1 |
| J•••••• M•••• H•••••••• | Glenview, Il | Oct 13, 2023 | 10 y | 0 |
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 headcount1 left over 36 months
Left, latest
- M••• A•• S••••••• to 3•• F•••••••• P•••••••Apr 30, 2025 · RIA to a state-registered adviser
Joined, latest
- T••• T•••••• U•••••••• from A••••••• H•••••• • T•••••• L••Apr 3, 2015 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- U••••••••• R•••••• M••••• · Secretarycontrolsince 12/2014 · owns 75% or more
- U••••••••• T•••• T•••••• · President/ Chief Compliance Officer/Treasurercontrolsince 12/2013 · 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 |
|---|---|---|---|---|---|
| Torrance, Ca · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Glenview, IL1 employees
- Sebastian, FL
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Jul 17, 2026discretionary share of RAUM of 0% against a peer median of 100% (5676 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: independent wealth managers, $100M to $500M (5,676) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 126 to 145Apr 1, 2025 to Mar 4, 2026
- Advisory employees · 5 to 2Apr 1, 2025 to Mar 4, 2026
- Advisory activities · 7 to 6Apr 1, 2025 to Mar 4, 2026
- HNW clients · 28 to 27Apr 1, 2025 to Mar 4, 2026
- Individual clients · 19 to 23Apr 1, 2025 to Mar 4, 2026
- Employees · 6 to 5Apr 1, 2025 to Mar 4, 2026
- State-registered IARs · 0 to 2Apr 1, 2025 to Mar 4, 2026
- HNW RAUM · $99.9M to $98.8MApr 1, 2025 to Mar 4, 2026
- Individual RAUM · $9.5M to $14.7MApr 1, 2025 to Mar 4, 2026
- Non-discretionary RAUM · $109M to $115MApr 1, 2025 to Mar 4, 2026
- RAUM · $109M to $115MApr 1, 2025 to Mar 4, 2026
- Accounts · 155 to 126Feb 15, 2024 to Apr 1, 2025
- Charity clients · 1.0 to unsetFeb 15, 2024 to Apr 1, 2025
- HNW clients · 33 to 28Feb 15, 2024 to Apr 1, 2025
- Individual clients · 13 to 19Feb 15, 2024 to Apr 1, 2025
- Employees · 7 to 6Feb 15, 2024 to Apr 1, 2025
- Financial planning clients · 51-100 to 51-100Feb 15, 2024 to Apr 1, 2025
- HNW RAUM · $105M to $99.9MFeb 15, 2024 to Apr 1, 2025
- Individual RAUM · $5.3M to $9.5MFeb 15, 2024 to Apr 1, 2025
- Non-discretionary RAUM · $112M to $109MFeb 15, 2024 to Apr 1, 2025
- RAUM · $112M to $109MFeb 15, 2024 to Apr 1, 2025
- Accounts · 177 to 155Nov 9, 2023 to Feb 15, 2024
- HNW clients · 34 to 33Nov 9, 2023 to Feb 15, 2024
- Individual clients · 15 to 13Nov 9, 2023 to Feb 15, 2024
- HNW RAUM · $106M to $105MNov 9, 2023 to Feb 15, 2024
- Individual RAUM · $6.1M to $5.3MNov 9, 2023 to Feb 15, 2024
- Non-discretionary RAUM · $113M to $112MNov 9, 2023 to Feb 15, 2024
- RAUM · $113M to $112MNov 9, 2023 to Feb 15, 2024
- Advisory employees · 1 to 5Mar 22, 2023 to Nov 9, 2023
- Advisory activities · 6 to 7Mar 22, 2023 to Nov 9, 2023
- Pooled vehicle clients · 1.0 to unsetMar 22, 2023 to Nov 9, 2023
- Employees · 1 to 7Mar 22, 2023 to Nov 9, 2023
- State-registered IARs · 1 to 0Mar 22, 2023 to Nov 9, 2023
- Pooled vehicle RAUM · 48900.0 to unsetMar 22, 2023 to Nov 9, 2023
- Accounts · 169 to 177Jul 7, 2022 to Mar 22, 2023
- Advisory activities · 5 to 6Jul 7, 2022 to Mar 22, 2023
- Charity clients · unset to 1.0Jul 7, 2022 to Mar 22, 2023
- HNW clients · 32 to 34Jul 7, 2022 to Mar 22, 2023
- Employees · 4 to 1Jul 7, 2022 to Mar 22, 2023
- Other offices · 0 to 2Jul 7, 2022 to Mar 22, 2023
Signals
2 dated events
- M••• A•• S••••••• left S•••• B•• F•••••••• P••••••• for 3•• F•••••••• P••••••• (registered 2025-04-18)Apr 30, 2025 · Advisor changed firm · fact
- S•••• B•• F•••••••• P••••••• filed its initial SEC registration (Form ADV)Mar 15, 2017 · 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
- Firm profile
- linkedin.com/company/south-bay-financial-partnersreportedpublic record, Form ADV, Sep 18, 2026
- Website
- s•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 310-792-4189reportedpublic record, Form ADV, Jul 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
- $57.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026