DFX Intelligence
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C••••••••• F••••••••• L••
Independent wealth manager, based in Tustin, California, reporting $157M of regulatory assets across 1 registered advisors.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $157M
- Advisors
- 1
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- +13%
- Private clients
- 100% of RAUM, $157M
Form ADV
IAPD
IAPD registration history
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- accounts (Item 5.F.2.f) 282Peer median 0.0453296703296703
- Contact points 5
Every filed figure, and the identifiersCRD 286443 · SEC 801-123648 · 14 filingsShowHide
CRD 286443SEC 801-123648First filing on the tape Feb 22, 2017, latest Mar 24, 2026SEC status approved since Apr 7, 2022IAPD
RAUM
$157M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$157M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$157M
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
14 filings and snapshots on the tape
RAUM$157M as of Mar 24, 2026
Mar 7, 2023$105M then
HNW client RAUM$129M as of Mar 24, 2026
Mar 7, 2023$45.9M then
State-registered IARs (5.B.3)1 as of Mar 24, 2026
Mar 7, 20231 then
Employees (5.A)1 as of Mar 24, 2026
Mar 7, 20231 then
Private funds: no history
RAUM +13% over the last fiscal year+14% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 24, 2026; 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $157MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 282derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.1MderivedHNW RAUM over HNW clients
- Average account
- $557,014derivedRAUM 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
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.8%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Custody
- $204,801, 147 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$129M82%
- Individuals$28.5M18%
- Individual clients
- 165reported
- HNW clients
- 117reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 282reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $204,801 for 147 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=1.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T• A•• T•••Certified Financial Planner | Tustin, Ca | Mar 16, 2017 | 28 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
- T• A•• T••• from A••••••••• F•••••••• S•••••••• L••Mar 16, 2017 · 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
- T•••• T•• A•• · Chief Compliance Officer And Managing Membercontrolsince 03/2017 · 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
- account count collapseChange between filings · filing Mar 24, 2026accounts (Item 5.F.2.f) moved from 448.0 to 282.0 (-37.0%) between the annual amendments of 2025-03-25 and 2026-03-24; the peer median change was +5.0% (3685 comparable advisers, 4.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,685) · 4.3% percentile
What changed
consecutive filings, newest first
- Individual clients · 183 to 165Jun 12, 2025 to Mar 24, 2026
- Accounts · 448 to 282Jun 12, 2025 to Mar 24, 2026
- BD registered reps · 0 to 1Jun 12, 2025 to Mar 24, 2026
- HNW clients · 81 to 117Jun 12, 2025 to Mar 24, 2026
- Assets in custody · $22.4M to $204,801Jun 12, 2025 to Mar 24, 2026
- Discretionary RAUM · $138M to $157MJun 12, 2025 to Mar 24, 2026
- HNW RAUM · $101M to $129MJun 12, 2025 to Mar 24, 2026
- Individual RAUM · $37.0M to $28.5MJun 12, 2025 to Mar 24, 2026
- RAUM · $138M to $157MJun 12, 2025 to Mar 24, 2026
- Financial planning clients · 0 to 0Mar 25, 2025 to Jun 12, 2025
- Related broker-dealer · false to trueMar 25, 2025 to Jun 12, 2025
- Accounts · 436 to 448Mar 6, 2024 to Mar 25, 2025
- BD registered reps · 1 to 0Mar 6, 2024 to Mar 25, 2025
- HNW clients · 68 to 81Mar 6, 2024 to Mar 25, 2025
- Individual clients · 153 to 183Mar 6, 2024 to Mar 25, 2025
- Assets in custody · $19.5M to $22.4MMar 6, 2024 to Mar 25, 2025
- Discretionary RAUM · $124M to $138MMar 6, 2024 to Mar 25, 2025
- HNW RAUM · $75.5M to $101MMar 6, 2024 to Mar 25, 2025
- Individual RAUM · $48.3M to $37.0MMar 6, 2024 to Mar 25, 2025
- RAUM · $124M to $138MMar 6, 2024 to Mar 25, 2025
- Accounts · 437 to 436Nov 30, 2023 to Mar 6, 2024
- HNW clients · 40 to 68Nov 30, 2023 to Mar 6, 2024
- Individual clients · 94 to 153Nov 30, 2023 to Mar 6, 2024
- Assets in custody · $11.9M to $19.5MNov 30, 2023 to Mar 6, 2024
- Discretionary RAUM · $105M to $124MNov 30, 2023 to Mar 6, 2024
- HNW RAUM · $45.9M to $75.5MNov 30, 2023 to Mar 6, 2024
- Individual RAUM · $59.2M to $48.3MNov 30, 2023 to Mar 6, 2024
- RAUM · $105M to $124MNov 30, 2023 to Mar 6, 2024
- Wrap assets (manager) · 0.0 to unsetNov 30, 2023 to Mar 6, 2024
- Wrap assets (sponsor) · 0.0 to unsetNov 30, 2023 to Mar 6, 2024
- Related broker-dealer · true to falseMar 7, 2023 to Nov 30, 2023
- Accounts · 424 to 437Jun 17, 2022 to Mar 7, 2023
- HNW clients · 63 to 40Jun 17, 2022 to Mar 7, 2023
- Individual clients · 151 to 94Jun 17, 2022 to Mar 7, 2023
- Assets in custody · $18.0M to $11.9MJun 17, 2022 to Mar 7, 2023
- Discretionary RAUM · $114M to $105MJun 17, 2022 to Mar 7, 2023
- HNW RAUM · $65.2M to $45.9MJun 17, 2022 to Mar 7, 2023
- Individual RAUM · $49.0M to $59.2MJun 17, 2022 to Mar 7, 2023
- RAUM · $114M to $105MJun 17, 2022 to Mar 7, 2023
- Related broker-dealer · false to trueJun 17, 2022 to Mar 7, 2023
Signals
1 dated events
- ••• LockedFeb 22, 2017 · 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 phone
- ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
- Website
- ••• Lockedreportedpublic record, Form ADV, Mar 24, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Mar 24, 2026
- Contact form
- ••• Lockedreportedpublished by the firm, firm site, Sep 16, 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
- $157Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026