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
C••••••• C•••••• M••••••••• I••••••••• L••
Latest filing Mar 25, 2026
First filing on the tape Feb 20, 2017 · 29 filings
SEC status approved since Feb 27, 2017
RAUM
$780M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$777M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$130M
derived; firm RAUM over IAPD count
Employees
11
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$780M as of Mar 25, 2026
Mar 3, 2018$330M then
HNW client RAUM$712M as of Mar 25, 2026
Mar 3, 2018$273M then
State-registered IARs (5.B.3)6 as of Mar 25, 2026
Mar 3, 20184 then
Employees (5.A)11 as of Mar 25, 2026
Mar 3, 20184 then
Private funds: no history
RAUM +17% over the last fiscal year+17% a year over threeIARs 5 to 6
Practice profile
derived from the filing of Mar 25, 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
- RAUM per advisor
- $130MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 50derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.7MderivedHNW RAUM over HNW clients
- Average account
- $651,425derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.8derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +4.6%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, publicationsreportedItem 5.G
- Custody
- $30.3M, 24 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$712M91%
- Individuals$65.2M8.4%
- Pension and profit-sharing plans$3.5M0.4%
- Individual clients
- 104reported
- HNW clients
- 194reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,198reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $30.3M for 24 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• B•••• S••••••Certified Financial Planner | San Diego, Ca | Apr 28, 2017 | 20 y | 1 |
| B•••• W•••••• M•••••Certified Financial Planner | San Diego, Ca | Apr 28, 2017 | 16 y | 1 |
| K••••••• M•••• B•••••Certified Financial Planner | San Diego, Ca | Jan 26, 2018 | 10 y | 0 |
| T••• M• V••••••Certified Financial Planner | San Diego, Ca | Aug 6, 2021 | 31 y | 1 |
| A•••• H•••Certified Financial Planner | San Diego, Ca | Oct 22, 2024 | 11 y | 1 |
| J••••• C••••••••• O••••• O••••• | San Diego, Ca | Apr 30, 2025 | 10 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
- S••••• M••• H••••• to E• W••••• A•••••••Feb 13, 2023 · RIA to RIA
- M•••••• R•••••• R••• to F•••••• M•••••• F••••••••Sep 7, 2022 · RIA to a state-registered adviser
Joined, latest
- A•••• H••• from A••••• W••••• P•••••••Oct 22, 2024 · RIA to RIA
- T••• M• V•••••• from S•••••• W••••• M••••••••• I•••Aug 6, 2021 · RIA to RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• B••••• W•••••• · Chief Compliance Officer And Managercontrolsince 01/2017 · owns less than 5%
- S••••••• M••••••• B•••• · Managercontrolsince 01/2017 · owns less than 5%
- B•••••• K•••••••• M•••• · Presidentcontrolsince 07/2022 · owns 75% or more of T•• H••••••• I•••
- M•••••• B••••• W•••••• · Trustee/Beneficiarycontrolsince 01/2017 · owns F of M••••• R•••••••• T••••
- S••••••• M••••••• B•••• · Trustee/Beneficiarycontrolsince 01/2017 · owns F of S•••••• R•••••••• T••••
- B•••••• K•••••••• M•••• · Grantor And Trusteesince 07/2022 · owns F of T•• T•••• J• B••••• A•• K••••••• M• B••••• L••••• T•••• U•• D•••• 0•••••••••
- B•••••• T••••• J•••• · Grantor And Trusteesince 07/2022 · owns F of T•• T•••• J• B••••• A•• K••••••• M• B••••• L••••• T•••• U•• D•••• 0•••••••••
- M•••••• N•••••• L•• · Trustee/Beneficiarysince 01/2017 · owns F of M••••• R•••••••• T••••
- S••••••• A••••••••• K••• · Trustee/Beneficiarysince 01/2017 · owns F of S•••••• R•••••••• T••••
Entity owners
- J•••• F••••• H••••••• L•• · Memberdirect · owns 25% to 50%
- M• O•••• H••••••• L•• · Memberdirect · owns 25% to 50%
- T•• H••••••• I••• · Memberdirect · owns 5% to 10%
- M••••• R•••••••• T•••• · Ownerindirect · owns 75% or more of M• O•••• H••••••• L••
- S•••••• R•••••••• T•••• · Ownerindirect · owns 75% or more of J•••• F••••• H••••••• L••
- T•• T•••• J• B••••• A•• K••••••• M• B••••• L••••• T•••• U•• D•••• 0••••••••• · Ownerindirect · owns 75% or more of T•• H••••••• I•••
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 |
|---|---|---|---|---|---|
| San Diego, Ca · principal | 6 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,126 to 1,198May 1, 2025 to Mar 25, 2026
- Advisory employees · 6 to 7May 1, 2025 to Mar 25, 2026
- HNW clients · 180 to 194May 1, 2025 to Mar 25, 2026
- Individual clients · 105 to 104May 1, 2025 to Mar 25, 2026
- Assets in custody · $19.8M to $30.3MMay 1, 2025 to Mar 25, 2026
- Financial planning clients · 51-100 to 26-50May 1, 2025 to Mar 25, 2026
- State-registered IARs · 5 to 6May 1, 2025 to Mar 25, 2026
- Discretionary RAUM · $668M to $780MMay 1, 2025 to Mar 25, 2026
- HNW RAUM · $595M to $712MMay 1, 2025 to Mar 25, 2026
- Individual RAUM · $70.5M to $65.2MMay 1, 2025 to Mar 25, 2026
- Non-discretionary RAUM · $742,851 to $890,144May 1, 2025 to Mar 25, 2026
- Pension RAUM · $2.9M to $3.5MMay 1, 2025 to Mar 25, 2026
- RAUM · $668M to $780MMay 1, 2025 to Mar 25, 2026
- Financial planning clients · 51-100 to 51-100Jan 31, 2025 to May 1, 2025
- Accounts · 1,053 to 1,126Oct 28, 2024 to Jan 31, 2025
- Advisory employees · 5 to 6Oct 28, 2024 to Jan 31, 2025
- HNW clients · 171 to 180Oct 28, 2024 to Jan 31, 2025
- Individual clients · 97 to 105Oct 28, 2024 to Jan 31, 2025
- Assets in custody · $18.1M to $19.8MOct 28, 2024 to Jan 31, 2025
- Employees · 10 to 11Oct 28, 2024 to Jan 31, 2025
- Financial planning clients · 26-50 to 51-100Oct 28, 2024 to Jan 31, 2025
- State-registered IARs · 4 to 5Oct 28, 2024 to Jan 31, 2025
- Discretionary RAUM · $586M to $668MOct 28, 2024 to Jan 31, 2025
- HNW RAUM · $513M to $595MOct 28, 2024 to Jan 31, 2025
- Individual RAUM · $67.1M to $70.5MOct 28, 2024 to Jan 31, 2025
- Non-discretionary RAUM · $601,633 to $742,851Oct 28, 2024 to Jan 31, 2025
- Pension RAUM · $3.1M to $2.9MOct 28, 2024 to Jan 31, 2025
- RAUM · $586M to $668MOct 28, 2024 to Jan 31, 2025
- Accounts · 1,098 to 1,053Sep 21, 2023 to Jan 30, 2024
- Advisory employees · 6 to 5Sep 21, 2023 to Jan 30, 2024
- HNW clients · 157 to 171Sep 21, 2023 to Jan 30, 2024
- Individual clients · 96 to 97Sep 21, 2023 to Jan 30, 2024
- Assets in custody · $14.7M to $18.1MSep 21, 2023 to Jan 30, 2024
- Employees · 9 to 10Sep 21, 2023 to Jan 30, 2024
- Discretionary RAUM · $553M to $586MSep 21, 2023 to Jan 30, 2024
- HNW RAUM · $489M to $513MSep 21, 2023 to Jan 30, 2024
- Individual RAUM · $58.1M to $67.1MSep 21, 2023 to Jan 30, 2024
- Non-discretionary RAUM · $601,122 to $601,633Sep 21, 2023 to Jan 30, 2024
- Pension RAUM · $3.0M to $3.1MSep 21, 2023 to Jan 30, 2024
- RAUM · $553M to $586MSep 21, 2023 to Jan 30, 2024
Signals
4 dated events
- S••••• M••• H••••• left C••••••• C•••••• M••••••••• I••••••••• L•• for E• W••••• A••••••• (registered 2025-01-01)Feb 13, 2023 · Advisor changed firm · fact
- M•••••• R•••••• R••• left C••••••• C•••••• M••••••••• I••••••••• L•• for F•••••• M•••••• F•••••••• (registered 2022-09-12)Sep 7, 2022 · Advisor changed firm · fact
- M•••• K••••••• B••••• (President) appeared on Schedule A of C••••••• C•••••• M••••••••• I••••••••• L••Aug 25, 2022 · Control person joined · fact
- C••••••• C•••••• M••••••••• I••••••••• L•• filed its initial SEC registration (Form ADV)Feb 20, 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 email
- info@myccmi.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 619-298-1976reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 619-298-3993reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 800-615-6666reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/myccmireportedpublic record, Form ADV, Sep 18, 2026
- Website
- MYCCMI.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 619-298-3993reportedpublic record, Form ADV, Mar 25, 2026
- Contact form
- myccmi.com/contact-usreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- myccmi.com/about/our-teamreportedpublished by the firm, firm site, Sep 15, 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
- $130Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026