DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

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SEC-registered adviser

D••••• W•••••

Independent wealth managerPasadena, CaliforniaCRD 284619SEC 801-132085websiteIAPD
Legal name D••••• W••••• L••
Latest filing Jan 28, 2026
First filing on the tape Mar 3, 2025 · 3 filings
SEC status approved since Mar 4, 2025
RAUM
$141M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$141M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$141M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$141M as of Jan 28, 2026
Mar 3, 2025$113M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Jan 28, 2026
Mar 3, 20251 then
Employees (5.A)2 as of Jan 28, 2026
Mar 3, 20252 then
Private funds: no history
RAUM +25% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Jan 28, 2026; every figure names its basis
Archetypes, each a printed rule
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
RAUM per advisor
$141MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
125derivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$474,128derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+25%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+20%derived
Compensation
fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
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
  • Individuals$141M100%
Individual clients
63reported
HNW clients
62reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
298reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
fixedreported
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
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
R••• T•••••• M•••••••Certified Financial PlannerSan Marino, Ca Aug 8, 201621 y4
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
    • M•••••••• R•••• T•••••• · Chief Compliance Officer/Managing Membercontrol
      since 06/2016 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 284 to 298
      May 29, 2025 to Jan 28, 2026
    • Advisory activities · 5 to 4
      May 29, 2025 to Jan 28, 2026
    • HNW clients · 39 to 62
      May 29, 2025 to Jan 28, 2026
    • Individual clients · 65 to 63
      May 29, 2025 to Jan 28, 2026
    • Discretionary RAUM · $113M to $141M
      May 29, 2025 to Jan 28, 2026
    • Individual RAUM · $113M to $141M
      May 29, 2025 to Jan 28, 2026
    • RAUM · $113M to $141M
      May 29, 2025 to Jan 28, 2026
    • Financial planning clients · 101-250 to 101-250
      Mar 3, 2025 to May 29, 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
    contact@derivewealthadvisors.comreportedpublished by the firm, firm site, Sep 16, 2026
    Business phone
    626-800-3864reportedpublished by the firm, firm site, Sep 16, 2026
    Website
    D•••••WEALTHADVISORS.COMreportedpublic record, Form ADV, Sep 18, 2026
    Principal office phone
    626-800-3864reportedpublic record, Form ADV, Jan 28, 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
    $141Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026