DFX Intelligence
RIA Intelligence
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SEC-registered adviser
R•• C•••••• M••••••••• L••
Latest filing Feb 24, 2026
First filing on the tape Oct 7, 2016 · 19 filings
SEC status approved since Feb 13, 2020
RAUM
$171M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$171M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$171M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$171M as of Feb 24, 2026
Feb 8, 2021$102M then
HNW client RAUM$168M as of Feb 24, 2026
Feb 8, 2021$99.4M then
State-registered IARs (5.B.3)1 as of Feb 24, 2026
Feb 8, 20211 then
Employees (5.A)1 as of Feb 24, 2026
Feb 8, 20211 then
Private funds: no history
RAUM +3.8% over the last fiscal year+9.5% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Feb 24, 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
- $171MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 72derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.7MderivedHNW RAUM over HNW clients
- Average account
- $825,324derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +3.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -1.4%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $5.7M, 9 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)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$168M98%
- Individuals$3.0M1.7%
- Individual clients
- 27reported
- HNW clients
- 45reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 207reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- $5.7M for 9 clientsreported
- 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
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D•••• L•••••• V•• O•••••• | Tustin, Ca | Oct 27, 2016 | 27 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
- D•••• L•••••• V•• O•••••• from A••••••••• F•••••••• S•••••••• L••Oct 27, 2016 · Affiliated broker-dealer or bank to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- V•• O••••••• D••••• L•••••• · Managing Member & Chief Compliance Officercontrolsince 10/2016 · 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.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Feb 24, 2026custody of client assets (Item 9.A): no on the filing of 2025-02-21, yes on the filing of 2026-02-24peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 210 to 207Feb 21, 2025 to Feb 24, 2026
- Charity clients · 1.0 to unsetFeb 21, 2025 to Feb 24, 2026
- Individual clients · 28 to 27Feb 21, 2025 to Feb 24, 2026
- Assets in custody · $0 to $5.7MFeb 21, 2025 to Feb 24, 2026
- Custody of client assets · false to trueFeb 21, 2025 to Feb 24, 2026
- Discretionary RAUM · $165M to $171MFeb 21, 2025 to Feb 24, 2026
- HNW RAUM · $161M to $168MFeb 21, 2025 to Feb 24, 2026
- Individual RAUM · $3.2M to $3.0MFeb 21, 2025 to Feb 24, 2026
- RAUM · $165M to $171MFeb 21, 2025 to Feb 24, 2026
- Accounts · 207 to 210Feb 14, 2024 to Feb 21, 2025
- BD registered reps · 1 to 0Feb 14, 2024 to Feb 21, 2025
- HNW clients · 43 to 45Feb 14, 2024 to Feb 21, 2025
- Individual clients · 29 to 28Feb 14, 2024 to Feb 21, 2025
- Financial planning clients · 11-25 to 11-25Feb 14, 2024 to Feb 21, 2025
- Discretionary RAUM · $142M to $165MFeb 14, 2024 to Feb 21, 2025
- HNW RAUM · $139M to $161MFeb 14, 2024 to Feb 21, 2025
- Individual RAUM · $2.8M to $3.2MFeb 14, 2024 to Feb 21, 2025
- RAUM · $142M to $165MFeb 14, 2024 to Feb 21, 2025
- Accounts · 215 to 207Mar 16, 2023 to Feb 14, 2024
- HNW clients · 48 to 43Mar 16, 2023 to Feb 14, 2024
- Individual clients · 22 to 29Mar 16, 2023 to Feb 14, 2024
- Discretionary RAUM · $129M to $142MMar 16, 2023 to Feb 14, 2024
- HNW RAUM · $128M to $139MMar 16, 2023 to Feb 14, 2024
- Individual RAUM · $2.5M to $2.8MMar 16, 2023 to Feb 14, 2024
- Non-discretionary RAUM · $1.1M to $0Mar 16, 2023 to Feb 14, 2024
- RAUM · $130M to $142MMar 16, 2023 to Feb 14, 2024
- Accounts · 197 to 215Jun 27, 2022 to Mar 16, 2023
- HNW clients · 51 to 48Jun 27, 2022 to Mar 16, 2023
- Individual clients · 21 to 22Jun 27, 2022 to Mar 16, 2023
- Discretionary RAUM · $132M to $129MJun 27, 2022 to Mar 16, 2023
- HNW RAUM · $130M to $128MJun 27, 2022 to Mar 16, 2023
- Individual RAUM · $4.1M to $2.5MJun 27, 2022 to Mar 16, 2023
- Non-discretionary RAUM · $1.4M to $1.1MJun 27, 2022 to Mar 16, 2023
- RAUM · $134M to $130MJun 27, 2022 to Mar 16, 2023
- Related broker-dealer · true to falseJun 27, 2022 to Mar 16, 2023
- Wrap assets (manager) · 0.0 to unsetMar 2, 2022 to Jun 27, 2022
- Wrap assets (sponsor) · 0.0 to unsetMar 2, 2022 to Jun 27, 2022
- Accounts · 183 to 197Mar 11, 2021 to Mar 2, 2022
- Charity clients · unset to 1.0Mar 11, 2021 to Mar 2, 2022
- HNW clients · 60 to 51Mar 11, 2021 to Mar 2, 2022
Signals
1 dated events
- R•• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Oct 7, 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
- Principal office phone
- 949-922-3145reportedpublic record, Form ADV, Feb 24, 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
- $171Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026