DFX Intelligence

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P•••••• S•• F•••••••• C•••

Independent wealth managerSEC-registered· Los Angeles, Californiawebsite

Independent wealth manager, based in Los Angeles, California, reporting $290M of regulatory assets across 3 registered advisors.

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

As of 2025-09-16 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $290M
Advisors: 3
Net advisor flow, 12 months: 0 (0 in, 0 out)
RAUM change, last fiscal year: +25%
Private clients: 100% of RAUM, $290M

Advisors (3)Advisor movement Where the RAUM sits

As of 2025-09-16 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Why this matters

Reported RAUM grew +25% over the last fiscal year, to $290M.
2025-09-16
RAUM a year earlier $232MRAUM now $290M
5 published business contact points are on record, each with its source.
Contact points 5

Every filed figure, and the identifiersCRD 284286 · SEC 801-107989 · 21 filingsShow

CRD 284286SEC 801-107989First filing on the tape Jun 10, 2016, latest Sep 16, 2025SEC status approved since Jul 5, 2016IAPD

RAUM

$290M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$290M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$96.7M

derived; firm RAUM over IAPD count

Employees

3 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

21 filings and snapshots on the tape

RAUM$290M as of Sep 16, 2025

Aug 1, 2017$127M then

HNW client RAUM$239M as of Sep 16, 2025

Jul 31, 2018$12.3M then

State-registered IARs (5.B.3)3 as of Sep 16, 2025

Aug 1, 20172 then

Employees (5.A)4 as of Sep 16, 2025

Aug 1, 20172 then

Private funds: no history

RAUM +25% over the last fiscal year+7.9% a year over threeIARs 3 to 3offices 1 to 0

Practice profile

derived from the filing of Sep 16, 2025; 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: $96.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 127derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $1.9MderivedHNW RAUM over HNW clients
Average account: $329,920derivedRAUM 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 offices incl. principal (1.F.5)
RAUM growth, one year: +16%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +6.5%derived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Wrap fee program: $290MreportedItem 5.I
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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$239M82%
Individuals$51.0M18%

Individual clients: 256reported
HNW clients: 126reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 879reported
Financial planning clients: reported
Wrap fee programs: $0 sponsored, $0 managedreported
Custody of client assets: noreported
Compensation: % of AUMreported
Class basis: private_client_share=1.0 fund_share=0.0 institutional_share=0.0 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
M••••••• J•••••• F•••••Certified Financial Planner	Aliso Viejo, Ca	Sep 14, 2022	32 y	1
R••••• E•••••••• H••••	Los Angeles, Ca	Jun 30, 2023	10 y	0
R••• J••••• F•••••	Los Angeles, Ca	Jan 21, 2025	14 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 headcount0 left over 36 months

Left, latest

none on the tape

Joined, latest

M••••••• J•••••• F••••• from B• R•••• W••••• A•••••••• I•••
Sep 14, 2022 · Other

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

F•••••• M•••••••• J•••••• · President & Chief Compliance Officercontrol
since 07/2016 · 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
Los Angeles, Ca · principal	2	0	0

Offices

Schedule D 1.F, the 25 largest

Laguna Niguel, CA1 employees

What changed

consecutive filings, newest first

Accounts · 846 to 879
Nov 12, 2024 to Sep 16, 2025
HNW clients · 110 to 126
Nov 12, 2024 to Sep 16, 2025
Individual clients · 251 to 256
Nov 12, 2024 to Sep 16, 2025
Financial planning clients · unset to
Nov 12, 2024 to Sep 16, 2025
Other offices · 1 to 0
Nov 12, 2024 to Sep 16, 2025
Discretionary RAUM · $268M to $290M
Nov 12, 2024 to Sep 16, 2025
HNW RAUM · $221M to $239M
Nov 12, 2024 to Sep 16, 2025
Individual RAUM · $47.0M to $51.0M
Nov 12, 2024 to Sep 16, 2025
RAUM · $268M to $290M
Nov 12, 2024 to Sep 16, 2025
HNW clients · 103 to 110
Sep 25, 2023 to Nov 12, 2024
Individual clients · 236 to 251
Sep 25, 2023 to Nov 12, 2024
Discretionary RAUM · $232M to $268M
Sep 25, 2023 to Nov 12, 2024
HNW RAUM · $175M to $221M
Sep 25, 2023 to Nov 12, 2024
Individual RAUM · $57.0M to $47.0M
Sep 25, 2023 to Nov 12, 2024
RAUM · $232M to $268M
Sep 25, 2023 to Nov 12, 2024
Accounts · 854 to 846
Sep 1, 2022 to Sep 25, 2023
Advisory employees · 2 to 3
Sep 1, 2022 to Sep 25, 2023
HNW clients · 38 to 103
Sep 1, 2022 to Sep 25, 2023
Individual clients · 291 to 236
Sep 1, 2022 to Sep 25, 2023
State-registered IARs · 2 to 3
Sep 1, 2022 to Sep 25, 2023
Discretionary RAUM · $219M to $232M
Sep 1, 2022 to Sep 25, 2023
HNW RAUM · $29.5M to $175M
Sep 1, 2022 to Sep 25, 2023
Individual RAUM · $188M to $57.0M
Sep 1, 2022 to Sep 25, 2023
RAUM · $219M to $232M
Sep 1, 2022 to Sep 25, 2023
Accounts · 828 to 854
Oct 29, 2021 to Sep 1, 2022
HNW clients · 84 to 38
Oct 29, 2021 to Sep 1, 2022
Individual clients · 732 to 291
Oct 29, 2021 to Sep 1, 2022
Employees · 2 to 4
Oct 29, 2021 to Sep 1, 2022
HQ city · ALISO VIEJO to LOS ANGELES
Oct 29, 2021 to Sep 1, 2022
Discretionary RAUM · $231M to $219M
Oct 29, 2021 to Sep 1, 2022
HNW RAUM · $43.4M to $29.5M
Oct 29, 2021 to Sep 1, 2022
Individual RAUM · $185M to $188M
Oct 29, 2021 to Sep 1, 2022
RAUM · $231M to $219M
Oct 29, 2021 to Sep 1, 2022
Accounts · 737 to 828
Dec 21, 2020 to Oct 29, 2021
HNW clients · 40 to 84
Dec 21, 2020 to Oct 29, 2021
Individual clients · 304 to 732
Dec 21, 2020 to Oct 29, 2021
Pension plan clients · 10.0 to unset
Dec 21, 2020 to Oct 29, 2021
Discretionary RAUM · $166M to $231M
Dec 21, 2020 to Oct 29, 2021
HNW RAUM · $52.0M to $43.4M
Dec 21, 2020 to Oct 29, 2021
Individual RAUM · $106M to $185M
Dec 21, 2020 to Oct 29, 2021

Signals

2 dated events

••• Locked
Sep 16, 2025 · ria office closed · derived
••• Locked
Jun 10, 2016 · 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 email: ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
Website: ••• Lockedreportedpublic record, Form ADV, Sep 16, 2025
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Sep 16, 2025

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: $96.7Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026