DFX Intelligence

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S•••••• I••••••••• M••••••••• I•••

Independent wealth managerSEC-registered1 private funds· Northridge, California

Independent wealth manager, based in Northridge, California, reporting $120M of regulatory assets across 3 registered advisors.

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

As of 2026-08-17 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $120M
Advisors: 3
Net advisor flow, 12 months: 0
Private clients: 100%

See where advisers went See teams that moved

Advisors (3)Where the RAUM sits

As of 2026-08-17 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. No dated change on record yet.

Every filed figure, and the identifiersCRD 283119 · SEC 801-136765 · 2 filingsShow

CRD 283119SEC 801-136765First filing on the tape Jun 17, 2026, latest Aug 17, 2026SEC status approved since Jul 17, 2026IAPD

RAUM

$120M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$120M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$39.9M

derived; firm RAUM over IAPD count

Employees

4 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

2 filings and snapshots on the tape

Filed figures over time · the tape starts Jun 17, 2026

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$120M as of Aug 17, 2026

Jun 17, 2026$120M then

HNW client RAUM$115M as of Aug 17, 2026

Jun 17, 2026$115M then

State-registered IARs (5.B.3)3 as of Aug 17, 2026

Jun 17, 20263 then

Employees (5.A)4 as of Aug 17, 2026

Jun 17, 20264 then

Private funds1 as of Aug 17, 2026

Jun 17, 20261 then

Practice profile

derived from the filing of Aug 17, 2026; every figure names its basis

Archetypes

The rule behind each archetype, and every derived figure2 rulesShow

RIA with private funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
Solo or small team · one advisor, or a wealth manager with up to three advisors and one office, and at most 25 employees (Item 5.A)

RAUM per advisor: $39.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 8derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $7.2MderivedHNW RAUM over HNW clients
Average account: $3.2MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.3derivedItem 5.A over advisors
Advisors per office: 3.0derived1 office incl. principal (1.F.5)
RAUM growth, one year: unknownderivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: percentage of assets, performance-basedreportedItem 5.E
Advisory activities: portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody: $53.0M, 1 clientreportedItem 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

96% high-net-worth individuals, 3.6% individuals

The breakdown by client type, and the client counts2 client typesShow

High-net-worth individuals$115M96%
Individuals$4.3M3.6%

Individual clients: 8reported
HNW clients: 16reported
Pension plan clients: 0reported
Charitable clients: 0reported
Accounts: 37reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: $53.0M for 1 clientreported
Compensation: % of AUM, performancereported
Class basis: RAUM: 100% private clients, 0% pooled funds, 0% institutions; no related broker-dealer; no related bankderived

Advisor movement

0 left over 36 months

0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

3 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry
W•••••• C•••••••• F••••	Northridge, Ca	Sep 16, 2024	10 y
K••• J•••• S••••••	Northridge, Ca	Jan 1, 2026	16 y
C•••• S••••••	Northridge, Ca	Jan 1, 2026	35 y

Private funds

1 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
S••• I••••••••• L•	Hedge Fund	$53.0M	13	Aug 17, 2026

Owners and control persons

Schedule A and B, latest filing

S••••••• K•••• J•••• · Ownercontrol
since 01/2022 · owns 25% to 50%

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
Northridge, Ca · principal	3	2	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

One filing, no change to show.

Signals

1 dated events

••• Locked
Aug 17, 2026 · private fund first reported · 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

Principal office phone: ••• Lockedreportedpublic record, Form ADV, Aug 17, 2026

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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

Not yet on record: RAUM change, 1 year.