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B••• • B•••• W••••• A•••••••• L••

Independent wealth managerSEC-registered· Newport Beach, Californiawebsite

Independent wealth manager, based in Newport Beach, California, reporting $487M of regulatory assets across 3 registered advisors.

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

As of 2026-02-06 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $487M
Advisors: 3
Net advisor flow, 12 months: 0 (0 in, 0 out)
RAUM change, last fiscal year: +16%
Private clients: 99% of RAUM, $480M

Advisors (3)Advisor movement Where the RAUM sits

As of 2026-02-06 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Why this matters

Reported RAUM grew +16% over the last fiscal year, to $487M.
2026-02-06
RAUM a year earlier $421MRAUM now $487M
RAUM per registered advisor of $162,256,036 against a peer median of $55,720,623 (3259 comparable advisers, 100.0th percentile, 3.7 robust deviations)
2026-02-06
RAUM per registered advisor 162256036Peer median 55720623
5 published business contact points are on record, each with its source.
Contact points 5

Every filed figure, and the identifiersCRD 175419 · SEC 801-96196 · 27 filingsShow

CRD 175419SEC 801-96196First filing on the tape Apr 20, 2015, latest Feb 6, 2026SEC status approved since May 11, 2015IAPD

RAUM

$487M

reported, Item 5.F

Discretionary

99%

of RAUM

Private clients

99%

$480M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$162M

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

27 filings and snapshots on the tape

RAUM$487M as of Feb 6, 2026

Mar 2, 2016$160M then

HNW client RAUM$385M as of Feb 6, 2026

Feb 20, 2018$197M then

State-registered IARs (5.B.3)2 as of Feb 6, 2026

Mar 2, 20163 then

Employees (5.A)3 as of Feb 6, 2026

Mar 2, 20163 then

Private funds: no history

RAUM +16% over the last fiscal year+20% a year over threeIARs 0 to 2

Practice profile

derived from the filing of Feb 6, 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
Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets

RAUM per advisor: $162MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 167derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.6MderivedHNW RAUM over HNW clients
Average account: $800,605derivedRAUM over accounts (5.F.2.f)
Discretionary: 99%derivedof RAUM
Institutional: 1.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.0derivedItem 5.A over advisors
Advisors per office: 3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +16%derivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: +19%derived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: portfolio management for individuals, pension consultingreportedItem 5.G
Wrap fee program: $487MreportedItem 5.I
Custody: $413M, 381 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)
compensates persons for client referrals (8.G.1)
compensates non-employees for client referrals (8.G.2)
has custody of client cash or bank accounts (9.A.1.a)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$385M79%
Individuals$95.3M20%
Charitable organizations$6.4M1.3%
Pension and profit-sharing plans$187,8240.0%

Individual clients: 350reported
HNW clients: 150reported
Pension plan clients: 1reported
Charitable clients: 4reported
Accounts: 608reported
Financial planning clients: 0reported
Wrap fee programs: $487M sponsored, $487M managedreported
Custody of client assets: $413M for 381 clientsreported
Compensation: % of AUMreported
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

3 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
L•••• E••••• B•••	Newport Beach, Ca	May 11, 2015	40 y	1
J•••••• H•••• B••••	Newport Beach, Ca	May 12, 2015	34 y	2
M•••••• J••• H••••••	Newport Beach, Ca	Jan 4, 2016	15 y	1

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

M•••••• J••• H•••••• from R•• C•••••• M••••••• L••
Jan 4, 2016 · Other
J•••••• H•••• B•••• from R•• C•••••• M••••••• L••
May 12, 2015 · Affiliated broker-dealer or bank to a newly registered adviser
L•••• E••••• B••• from R•• C•••••• M••••••• L••
May 11, 2015 · Affiliated broker-dealer or bank to a newly registered adviser

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

B•••• L••••• E••••• · Chief Compliance Officer And Managing Membercontrol
since 05/2015 · owns 50% to 75%
B••••• J••••••• H•••• · Managing Membercontrol
since 05/2015 · 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
Newport Beach, Ca · principal	3	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

1 against comparable advisers; where to look, not conclusions

very high RAUM per advisorStatic outlier · filing Feb 6, 2026
RAUM per registered advisor of $162,256,036 against a peer median of $55,720,623 (3259 comparable advisers, 100.0th percentile, 3.7 robust deviations)
peers: independent wealth managers, $100M to $500M (3,259) · 100% percentile

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 797 to 608
Jan 30, 2025 to Feb 6, 2026
Charity clients · 7 to 4
Jan 30, 2025 to Feb 6, 2026
HNW clients · 120 to 150
Jan 30, 2025 to Feb 6, 2026
Individual clients · 300 to 350
Jan 30, 2025 to Feb 6, 2026
Pension plan clients · 6 to 1
Jan 30, 2025 to Feb 6, 2026
Assets in custody · $281M to $413M
Jan 30, 2025 to Feb 6, 2026
State-registered IARs · 0 to 2
Jan 30, 2025 to Feb 6, 2026
Discretionary RAUM · $404M to $481M
Jan 30, 2025 to Feb 6, 2026
HNW RAUM · $309M to $385M
Jan 30, 2025 to Feb 6, 2026
Individual RAUM · $96.6M to $95.3M
Jan 30, 2025 to Feb 6, 2026
Non-discretionary RAUM · $16.4M to $5.5M
Jan 30, 2025 to Feb 6, 2026
Pension RAUM · $3.3M to $187,824
Jan 30, 2025 to Feb 6, 2026
RAUM · $421M to $487M
Jan 30, 2025 to Feb 6, 2026
Wrap assets (manager) · $405M to $487M
Jan 30, 2025 to Feb 6, 2026
Wrap assets (sponsor) · $405M to $487M
Jan 30, 2025 to Feb 6, 2026
Accounts · 553 to 797
Feb 22, 2024 to Jan 30, 2025
Charity clients · unset to 7.0
Feb 22, 2024 to Jan 30, 2025
HNW clients · 110 to 120
Feb 22, 2024 to Jan 30, 2025
Individual clients · 235 to 300
Feb 22, 2024 to Jan 30, 2025
Pension plan clients · 7 to 6
Feb 22, 2024 to Jan 30, 2025
Assets in custody · $214M to $281M
Feb 22, 2024 to Jan 30, 2025
Financial planning clients · 0 to 0
Feb 22, 2024 to Jan 30, 2025
Discretionary RAUM · $320M to $404M
Feb 22, 2024 to Jan 30, 2025
HNW RAUM · $259M to $309M
Feb 22, 2024 to Jan 30, 2025
Individual RAUM · $62.2M to $96.6M
Feb 22, 2024 to Jan 30, 2025
Non-discretionary RAUM · $4.4M to $16.4M
Feb 22, 2024 to Jan 30, 2025
Pension RAUM · $3.9M to $3.3M
Feb 22, 2024 to Jan 30, 2025
RAUM · $325M to $421M
Feb 22, 2024 to Jan 30, 2025
Wrap assets (manager) · $325M to $405M
Feb 22, 2024 to Jan 30, 2025
Wrap assets (sponsor) · $325M to $405M
Feb 22, 2024 to Jan 30, 2025
Accounts · 503 to 553
Jan 23, 2023 to Feb 22, 2024
Charity clients · 2.0 to unset
Jan 23, 2023 to Feb 22, 2024
HNW clients · 100 to 110
Jan 23, 2023 to Feb 22, 2024
Individual clients · 225 to 235
Jan 23, 2023 to Feb 22, 2024
Pension plan clients · 6 to 7
Jan 23, 2023 to Feb 22, 2024
Assets in custody · $192M to $214M
Jan 23, 2023 to Feb 22, 2024
Discretionary RAUM · $275M to $320M
Jan 23, 2023 to Feb 22, 2024
HNW RAUM · $207M to $259M
Jan 23, 2023 to Feb 22, 2024
Individual RAUM · $68.0M to $62.2M
Jan 23, 2023 to Feb 22, 2024
Non-discretionary RAUM · $3.9M to $4.4M
Jan 23, 2023 to Feb 22, 2024

Signals

1 dated events

••• Locked
Apr 20, 2015 · 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 15, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
Website: ••• Lockedreportedpublic record, Form ADV, Feb 6, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Feb 6, 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: $162Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026