DFX Intelligence
RIA Intelligence
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SEC-registered adviser
R•• W••••• M•••••••••
Legal name R••••• A•••••••• I•••
Latest filing Apr 23, 2026
First filing on the tape Jan 13, 2025 · 5 filings
SEC status approved since Feb 13, 2025
RAUM
$160M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$156M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$39.9M
derived; firm RAUM over IAPD count
Employees
5
4 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$160M as of Apr 23, 2026
Jan 13, 2025$108M then
HNW client RAUM$81.1M as of Apr 23, 2026
Jan 13, 2025$60.3M then
State-registered IARs (5.B.3)4 as of Apr 23, 2026
Jan 13, 20254 then
Employees (5.A)5 as of Apr 23, 2026
Jan 13, 20254 then
Private funds: no history
RAUM +17% over the last fiscal yearIARs 4 to 4offices 0 to 2
Practice profile
derived from the filing of Apr 23, 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
- $39.9MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 62derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $284,083derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 1.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.9%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 consulting, selection of other advisers, otherreportedItem 5.G
- Custody
- $63.2M, 125 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$81.1M51%
- Individuals$74.9M47%
- Charitable organizations$3.7M2.3%
- Individual clients
- 210reported
- HNW clients
- 37reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 562reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $63.2M for 125 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 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 |
|---|---|---|---|---|
| T•••• G••••• | Placentia, Ca | Oct 15, 2015 | 28 y | 1 |
| J•••• P•••••• R•••••Certified Financial Planner | Placentia, Ca | Feb 11, 2020 | 34 y | 2 |
| A•••• M•••••Certified Financial Planner | Placentia, Ca | Aug 26, 2023 | 13 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
- J•••• P•••••• R••••• from R••••• A•••••••• I•••Feb 11, 2020 · Other
- T•••• G••••• from R••••• A•••••••• I•••Oct 15, 2015 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from R••••• A•••••••• I•••Nov 26, 2015 · Fullerton, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
No Schedule A on the extract for this adviser.
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 |
|---|---|---|---|---|---|
| Placentia, Ca · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 493 to 562Oct 17, 2025 to Apr 23, 2026
- Individual clients · 192 to 210Oct 17, 2025 to Apr 23, 2026
- Assets in custody · $89.0M to $63.2MOct 17, 2025 to Apr 23, 2026
- Insurance-licensed employees · 2 to 1Oct 17, 2025 to Apr 23, 2026
- Financial planning clients · 26-50 to 51-100Oct 17, 2025 to Apr 23, 2026
- Other offices · 0 to 2Oct 17, 2025 to Apr 23, 2026
- Discretionary RAUM · $136M to $160MOct 17, 2025 to Apr 23, 2026
- HNW RAUM · $73.3M to $81.1MOct 17, 2025 to Apr 23, 2026
- Individual RAUM · $59.5M to $74.9MOct 17, 2025 to Apr 23, 2026
- RAUM · $136M to $160MOct 17, 2025 to Apr 23, 2026
- Related adviser · true to falseOct 17, 2025 to Apr 23, 2026
- Financial planning clients · 26-50 to 26-50Apr 4, 2025 to Jun 27, 2025
- Accounts · 395 to 493Jan 13, 2025 to Apr 4, 2025
- Advisory employees · 3 to 4Jan 13, 2025 to Apr 4, 2025
- HNW clients · 29 to 37Jan 13, 2025 to Apr 4, 2025
- Individual clients · 171 to 192Jan 13, 2025 to Apr 4, 2025
- Assets in custody · $79.7M to $89.0MJan 13, 2025 to Apr 4, 2025
- Employees · 4 to 5Jan 13, 2025 to Apr 4, 2025
- Insurance-licensed employees · 1 to 2Jan 13, 2025 to Apr 4, 2025
- Financial planning clients · 1-10 to 26-50Jan 13, 2025 to Apr 4, 2025
- Discretionary RAUM · $108M to $136MJan 13, 2025 to Apr 4, 2025
- HNW RAUM · $60.3M to $73.3MJan 13, 2025 to Apr 4, 2025
- Individual RAUM · $44.3M to $59.5MJan 13, 2025 to Apr 4, 2025
- RAUM · $108M to $136MJan 13, 2025 to Apr 4, 2025
Signals
No event on the tape.
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 email
- j••@r••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 714-449-9696reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- r••••.comreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- (714) 449-9696reportedpublic record, Form ADV, Apr 23, 2026
- Contact form
- r••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- r••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $39.9Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026