DFX Intelligence

RIA Intelligence

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SEC-registered adviser

C••••• B•• I••••••••• M••••••••• L••

Independent wealth managerWestlake Village, CaliforniaCRD 284787SEC 801-108314website IAPD

Latest filing Mar 23, 2026

First filing on the tape Aug 19, 2016 · 19 filings

SEC status approved since Aug 30, 2016

RAUM

$663M

reported, Item 5.F

Discretionary

92%

of RAUM

Private clients

85%

$566M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$166M

derived; firm RAUM over IAPD count

Employees

4 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

19 filings and snapshots on the tape

RAUM$663M as of Mar 23, 2026

Mar 27, 2017$451M then

HNW client RAUM$546M as of Mar 23, 2026

Mar 7, 2018$449M then

State-registered IARs (5.B.3)4 as of Mar 23, 2026

Mar 27, 20173 then

Employees (5.A)4 as of Mar 23, 2026

Mar 27, 20173 then

Private funds: no history

RAUM +42% over the last fiscal year+15% a year over threeIARs 4 to 4

Practice profile

derived from the filing of Mar 23, 2026; every figure names its basis

Archetypes, each a printed rule

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
UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets

RAUM per advisor: $166MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 38derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $12.7MderivedHNW RAUM over HNW clients
Average account: $1.1MderivedRAUM over accounts (5.F.2.f)
Discretionary: 92%derivedof RAUM
Institutional: 15%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.0derivedItem 5.A over advisors
Advisors per office: 2.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year: +42%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: +4.1%derived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: portfolio management for individuals, portfolio management for businesses and institutions, otherreportedItem 5.G
Wrap fee program: $610MreportedItem 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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$546M82%
Charitable organizations$97.5M15%
Individuals$19.3M2.9%

Individual clients: 108reported
HNW clients: 43reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 610reported
Financial planning clients: reported
Wrap fee programs: $0 sponsored, $0 managedreported
Custody of client assets: noreported
Compensation: % of AUMreported
Class basis: private_client_share=0.85 fund_share=0.0 institutional_share=0.15 related_bd=false related_bank=false bd_reps=0.0derived

Advisors registered through the firm

4 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
A••••• D•••• L•••••••••	Westlake Village, Ca	Oct 17, 2025	19 y	3
J••••••• S••••• H•••••	Westlake Village, Ca	Dec 16, 2025	20 y	3
J•••• S••••• K•••••	Westlake Village, Ca	Dec 17, 2025	13 y	0
S••••• S••••• H•••••	Westlake Village, Ca	Dec 19, 2025	40 y	1

Advisor movement

0 left, 3 joined in 12 months

net +3 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

S••••• S••••• H••••• from L•• F•••••••• L••
Dec 19, 2025 · Other
J••••••• S••••• H••••• from L•• F•••••••• L••
Dec 16, 2025 · Other
A••••• D•••• L••••••••• from L•• F•••••••• L••
Oct 17, 2025 · Other

Every departure Every arrival

Teams: two or more advisors moving together within fourteen days, from one state

3 joined from L•• F•••••••• L••
Dec 23, 2016 · San Diego, Ca

Teams out Teams in

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

H•••••• J•••••••• S••••• · Presidentcontrol
since 06/2010 · owns less than 5%
H•••••• S•••••• S••••• · Chairmancontrol
since 06/2010 · owns less than 5%
L••••••••• A•••••• D•••• · Cco/Cfocontrol
since 01/2015 · owns less than 5%
H•••••• J•••••••• S••••• · Sole Proprietorcontrol
since 01/2016 · owns 75% or more of Jon H Cbay
H•••••• S•••••• S••••• · Managing Membercontrol
since 01/1986 · owns 75% or more of W•••••• P••• M••••••••• C••
L••••••••• A•••••• D•••• · Managing Membercontrol
since 01/2015 · owns 75% or more of G••••• C••••••••• S•••••••• I•••

Entity owners

G••••• C••••••••• S•••••••• I••• · Managing Member
direct · owns 5% to 10%
P••• E•••• I••••••••• G• · Managing Member
direct · owns 75% or more
W•••• I••••••••• I••• · Owner
indirect · owns F of P••• E•••• I••••••••• G•
W•••••• P••• M••••••••• C•• · General Partner
indirect · owns F of P••• E•••• I••••••••• G•

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
Westlake Village, Ca · principal	4	4	0

Offices

Schedule D 1.F, the 25 largest

, 1 employees

ADV anomalies

1 against comparable advisers; where to look, not conclusions

RAUM up 25 %Change between filings · filing Mar 23, 2026
RAUM (Item 5.F) moved from $467,699,208 to $663,058,299 (+42.0%) between the annual amendments of 2025-03-17 and 2026-03-23; the peer median change was +16.0% (1385 comparable advisers, 91.0th percentile of changes)
peers: independent wealth managers, $500M to $1B (1,385) · 91% percentile

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 145 to 610
Mar 17, 2025 to Mar 23, 2026
HNW clients · 39 to 43
Mar 17, 2025 to Mar 23, 2026
Individual clients · 106 to 108
Mar 17, 2025 to Mar 23, 2026
Discretionary RAUM · $468M to $610M
Mar 17, 2025 to Mar 23, 2026
HNW RAUM · $352M to $546M
Mar 17, 2025 to Mar 23, 2026
Individual RAUM · $18.9M to $19.3M
Mar 17, 2025 to Mar 23, 2026
Non-discretionary RAUM · $0 to $53.2M
Mar 17, 2025 to Mar 23, 2026
RAUM · $468M to $663M
Mar 17, 2025 to Mar 23, 2026
Accounts · 120 to 145
Mar 23, 2024 to Mar 17, 2025
HNW clients · 88 to 39
Mar 23, 2024 to Mar 17, 2025
Individual clients · 32 to 106
Mar 23, 2024 to Mar 17, 2025
Financial planning clients · unset to
Mar 23, 2024 to Mar 17, 2025
Discretionary RAUM · $461M to $468M
Mar 23, 2024 to Mar 17, 2025
HNW RAUM · $329M to $352M
Mar 23, 2024 to Mar 17, 2025
Individual RAUM · $38.3M to $18.9M
Mar 23, 2024 to Mar 17, 2025
RAUM · $461M to $468M
Mar 23, 2024 to Mar 17, 2025
Accounts · 483 to 120
Mar 27, 2023 to Mar 23, 2024
HNW clients · 30 to 88
Mar 27, 2023 to Mar 23, 2024
Individual clients · 56 to 32
Mar 27, 2023 to Mar 23, 2024
Discretionary RAUM · $441M to $461M
Mar 27, 2023 to Mar 23, 2024
HNW RAUM · $324M to $329M
Mar 27, 2023 to Mar 23, 2024
Individual RAUM · $32.5M to $38.3M
Mar 27, 2023 to Mar 23, 2024
RAUM · $441M to $461M
Mar 27, 2023 to Mar 23, 2024
Accounts · 318 to 483
Mar 23, 2022 to Mar 27, 2023
HNW clients · 35 to 30
Mar 23, 2022 to Mar 27, 2023
Individual clients · 76 to 56
Mar 23, 2022 to Mar 27, 2023
Discretionary RAUM · $515M to $441M
Mar 23, 2022 to Mar 27, 2023
HNW RAUM · $401M to $324M
Mar 23, 2022 to Mar 27, 2023
Individual RAUM · $17.6M to $32.5M
Mar 23, 2022 to Mar 27, 2023
RAUM · $515M to $441M
Mar 23, 2022 to Mar 27, 2023
Accounts · 314 to 318
Mar 24, 2021 to Mar 23, 2022
HNW clients · 31 to 35
Mar 24, 2021 to Mar 23, 2022
Individual clients · 108 to 76
Mar 24, 2021 to Mar 23, 2022
Other offices · 2 to 1
Mar 24, 2021 to Mar 23, 2022
Discretionary RAUM · $472M to $515M
Mar 24, 2021 to Mar 23, 2022
HNW RAUM · $371M to $401M
Mar 24, 2021 to Mar 23, 2022
Individual RAUM · $20.0M to $17.6M
Mar 24, 2021 to Mar 23, 2022
RAUM · $472M to $515M
Mar 24, 2021 to Mar 23, 2022
Accounts · 335 to 314
Jun 30, 2020 to Mar 24, 2021
Individual clients · 100 to 108
Jun 30, 2020 to Mar 24, 2021

Signals

2 dated events

C••••• B•• I••••••••• M••••••••• L•• reported RAUM $663.1M, up 42% from $467.7M (2025-03-17 to 2026-03-23)
Mar 23, 2026 · RAUM change · derived
C••••• B•• I••••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
Aug 19, 2016 · First SEC registration · fact

Across DFX

shared identifiers only, never a name match

C••••• B•• I••••••••• M••••••••• L•• · Private Equity
shared crd · intermediary

How to reach

public business contact points only, each with its source

Business email: i•••@c•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
Business phone: 805-719-2772reportedpublished by the firm, firm site, Sep 17, 2026
Website: w••.c•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
Principal office phone: 805-719-2772reportedpublic record, Form ADV, Mar 23, 2026
Team page: c•••••••••.comreportedpublished 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: $166Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026