DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

V••• C•••••• M••••••••• L••

Independent wealth managerSEC-registeredwebsite

Independent wealth manager, reporting $188M of regulatory assets across 2 registered advisors.

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

Regulatory AUM
$188M
Form ADV
Advisors
2
IAPD
Net advisor flow, 12 months
0 (0 in, 0 out)
IAPD registration history
RAUM change, last fiscal year
+24%
Form ADV, consecutive annual filings
Private clients
88% of RAUM, $167M
Form ADV
Advisors (2)Advisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 269894 · SEC 801-123544 · 12 filingsShow
CRD 269894SEC 801-123544First filing on the tape Jul 21, 2015, latest Jan 20, 2026SEC status approved since Mar 25, 2022IAPD
RAUM
$188M
reported, Item 5.F
Discretionary
0.1%
of RAUM
Private clients
88%
$167M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$94.2M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$188M as of Jan 20, 2026
Feb 1, 2023$108M then
HNW client RAUM$136M as of Jan 20, 2026
Feb 1, 2023$67.4M then
State-registered IARs (5.B.3)2 as of Jan 20, 2026
Feb 1, 20231 then
Employees (5.A)2 as of Jan 20, 2026
Feb 1, 20232 then
Private funds: no history
RAUM +24% over the last fiscal year+20% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jan 20, 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
$94.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
83derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.3MderivedHNW RAUM over HNW clients
Average account
$625,895derivedRAUM over accounts (5.F.2.f)
Discretionary
0.1%derivedof RAUM
Institutional
1.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+24%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+19%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
Wrap fee program
$188MreportedItem 5.I
Custody
$3.7M, 5 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)
  • 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$136M72%
  • Individuals$30.9M16%
  • Corporations and businesses$19.9M11%
  • Charitable organizations$1.8M1.0%
Individual clients
105reported
HNW clients
60reported
Pension plan clients
n/areported
Charitable clients
1reported
Accounts
301reported
Financial planning clients
0reported
Wrap fee programs
$0 sponsored, $188M managedreported
Custody of client assets
$3.7M for 5 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
private_client_share=0.88 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
NameBranchHere sinceIn industryPrior firms
T••••• E••••• H•••••Temecula, CaAug 4, 201529 y3
A•••••• D•••••• H•••••••Temecula, CaJan 17, 202313 y0
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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • H•••••• T•••••• E••••• · Managing Member/Chief Compliance Officercontrol
      since 08/2015 · 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
    OfficeAdvisorsJoinedLeftTeams outForming
    Temecula, Ca200
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 260 to 301
      Jan 17, 2025 to Jan 20, 2026
    • HNW clients · 51 to 60
      Jan 17, 2025 to Jan 20, 2026
    • Individual clients · 88 to 105
      Jan 17, 2025 to Jan 20, 2026
    • Assets in custody · $12.7M to $3.7M
      Jan 17, 2025 to Jan 20, 2026
    • Financial planning clients · 1-10 to 0
      Jan 17, 2025 to Jan 20, 2026
    • Discretionary RAUM · $146,939 to $152,881
      Jan 17, 2025 to Jan 20, 2026
    • HNW RAUM · $106M to $136M
      Jan 17, 2025 to Jan 20, 2026
    • Individual RAUM · $25.0M to $30.9M
      Jan 17, 2025 to Jan 20, 2026
    • Non-discretionary RAUM · $152M to $188M
      Jan 17, 2025 to Jan 20, 2026
    • RAUM · $152M to $188M
      Jan 17, 2025 to Jan 20, 2026
    • Wrap assets (manager) · $152M to $188M
      Jan 17, 2025 to Jan 20, 2026
    • Accounts · 235 to 260
      Jan 11, 2024 to Jan 17, 2025
    • HNW clients · 47 to 51
      Jan 11, 2024 to Jan 17, 2025
    • Individual clients · 80 to 88
      Jan 11, 2024 to Jan 17, 2025
    • Assets in custody · $6.1M to $12.7M
      Jan 11, 2024 to Jan 17, 2025
    • Financial planning clients · 1-10 to 1-10
      Jan 11, 2024 to Jan 17, 2025
    • HQ city · unset to
      Jan 11, 2024 to Jan 17, 2025
    • HQ state · unset to
      Jan 11, 2024 to Jan 17, 2025
    • Discretionary RAUM · $0 to $146,939
      Jan 11, 2024 to Jan 17, 2025
    • HNW RAUM · $90.4M to $106M
      Jan 11, 2024 to Jan 17, 2025
    • Individual RAUM · $24.2M to $25.0M
      Jan 11, 2024 to Jan 17, 2025
    • Non-discretionary RAUM · $132M to $152M
      Jan 11, 2024 to Jan 17, 2025
    • RAUM · $132M to $152M
      Jan 11, 2024 to Jan 17, 2025
    • Wrap assets (manager) · $0 to $152M
      Jan 11, 2024 to Jan 17, 2025
    • Accounts · 212 to 235
      Mar 8, 2023 to Jan 11, 2024
    • Advisory employees · 1 to 2
      Mar 8, 2023 to Jan 11, 2024
    • Corporate clients · 1 to 2
      Mar 8, 2023 to Jan 11, 2024
    • HNW clients · 40 to 47
      Mar 8, 2023 to Jan 11, 2024
    • Individual clients · 77 to 80
      Mar 8, 2023 to Jan 11, 2024
    • Assets in custody · $7.0M to $6.1M
      Mar 8, 2023 to Jan 11, 2024
    • State-registered IARs · 1 to 2
      Mar 8, 2023 to Jan 11, 2024
    • HNW RAUM · $67.4M to $90.4M
      Mar 8, 2023 to Jan 11, 2024
    • Individual RAUM · $24.8M to $24.2M
      Mar 8, 2023 to Jan 11, 2024
    • Non-discretionary RAUM · $108M to $132M
      Mar 8, 2023 to Jan 11, 2024
    • RAUM · $108M to $132M
      Mar 8, 2023 to Jan 11, 2024
    • Accounts · 200 to 212
      Feb 24, 2022 to Feb 1, 2023
    • HNW clients · 50 to 40
      Feb 24, 2022 to Feb 1, 2023
    • Individual clients · 51 to 77
      Feb 24, 2022 to Feb 1, 2023
    • Assets in custody · $61.9M to $7.0M
      Feb 24, 2022 to Feb 1, 2023
    • Employees · 1 to 2
      Feb 24, 2022 to Feb 1, 2023
    Signals
    1 dated events
    • ••• Locked
      Jul 21, 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 17, 2026
    Website
    ••• Lockedreportedpublic record, Form ADV, Jan 20, 2026
    Principal office phone
    ••• Lockedreportedpublic record, Form ADV, Jan 20, 2026
    Contact form
    ••• Lockedreportedpublished by the firm, firm site, Sep 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
    $94.2Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026