DFX Intelligence
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SEC-registered adviser
E••••••• W•••••• L••
Latest filing Mar 20, 2026
First filing on the tape Jun 23, 2017 · 20 filings
SEC status approved since Sep 7, 2021
RAUM
$171M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
95%
$163M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$85.6M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$171M as of Mar 20, 2026
Feb 23, 2022$116M then
HNW client RAUM$106M as of Mar 20, 2026
Feb 23, 2022$71.5M then
State-registered IARs (5.B.3)2 as of Mar 20, 2026
Feb 23, 20222 then
Employees (5.A)4 as of Mar 20, 2026
Feb 23, 20224 then
Private funds: no history
RAUM +33% over the last fiscal year+17% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 20, 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
- 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $85.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 151derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.5MderivedHNW RAUM over HNW clients
- Average account
- $221,545derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 4.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +33%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.5%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
- $50.0M, 125 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$106M62%
- Individuals$56.6M33%
- Pension and profit-sharing plans$6.5M3.8%
- Corporations and businesses$1.4M0.8%
- Charitable organizations$806,1830.5%
- Individual clients
- 229reported
- HNW clients
- 73reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 773reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $50.0M for 125 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.95 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••••• C••••• B•••••Certified Financial Planner | Bakersfield, Ca | Jul 28, 2017 | 11 y | 1 |
| B•••••• C••••• B•••••Certified Financial Planner | Bakersfield, Ca | Jul 28, 2017 | 45 y | 3 |
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
- A••••• C••••• B••••• from M••••• S••••••Jul 28, 2017 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- B•••••• C••••• B••••• from M••••• S••••••Jul 28, 2017 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from M••••• S••••••Jul 31, 2017 · Bakersfield, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• A•••••• C••••• · Chief Investment Officer & Presidentcontrolsince 07/2017 · owns less than 5%
- B•••••• B••••••• C••••• · Chief Compliance Officer & Chief Executive Officercontrolsince 06/2017 · owns less than 5%
- B•••••• L••••• · Chief Operating Officercontrolsince 07/2017 · owns less than 5%
- B•••••• A•••••• C••••• · Beneficiarycontrolsince 03/2017 · owns 75% or more of A•• I••••••••• T••••
- B•••••• B••••••• C••••• · Trusteecontrolsince 03/2017 · owns F of A•• I••••••••• T••••
Entity owners
- A•• I••••••••• T•••• · Managing Memberdirect · owns 75% or more
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 |
|---|---|---|---|---|---|
| Bakersfield, Ca · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 707 to 773Jun 30, 2025 to Mar 20, 2026
- Corporate clients · unset to 3.0Jun 30, 2025 to Mar 20, 2026
- HNW clients · 68 to 73Jun 30, 2025 to Mar 20, 2026
- Individual clients · 213 to 229Jun 30, 2025 to Mar 20, 2026
- Assets in custody · $40.8M to $50.0MJun 30, 2025 to Mar 20, 2026
- Discretionary RAUM · $125M to $168MJun 30, 2025 to Mar 20, 2026
- HNW RAUM · $74.7M to $106MJun 30, 2025 to Mar 20, 2026
- Individual RAUM · $45.5M to $56.6MJun 30, 2025 to Mar 20, 2026
- Non-discretionary RAUM · $3.2M to $3.6MJun 30, 2025 to Mar 20, 2026
- Pension RAUM · $6.5M to $6.5MJun 30, 2025 to Mar 20, 2026
- RAUM · $129M to $171MJun 30, 2025 to Mar 20, 2026
- Financial planning clients · 1-10 to 1-10Jan 30, 2025 to Jun 30, 2025
- Accounts · 641 to 707May 23, 2024 to Jan 30, 2025
- HNW clients · 66 to 68May 23, 2024 to Jan 30, 2025
- Individual clients · 198 to 213May 23, 2024 to Jan 30, 2025
- Assets in custody · $49.7M to $40.8MMay 23, 2024 to Jan 30, 2025
- Discretionary RAUM · $116M to $125MMay 23, 2024 to Jan 30, 2025
- HNW RAUM · $74.8M to $74.7MMay 23, 2024 to Jan 30, 2025
- Individual RAUM · $37.7M to $45.5MMay 23, 2024 to Jan 30, 2025
- Non-discretionary RAUM · $2.9M to $3.2MMay 23, 2024 to Jan 30, 2025
- Pension RAUM · $5.7M to $6.5MMay 23, 2024 to Jan 30, 2025
- RAUM · $119M to $129MMay 23, 2024 to Jan 30, 2025
- Accounts · 638 to 641Aug 9, 2023 to Feb 6, 2024
- HNW clients · 65 to 66Aug 9, 2023 to Feb 6, 2024
- Individual clients · 223 to 198Aug 9, 2023 to Feb 6, 2024
- Assets in custody · $31.7M to $49.7MAug 9, 2023 to Feb 6, 2024
- Financial planning clients · 0 to 1-10Aug 9, 2023 to Feb 6, 2024
- Discretionary RAUM · $102M to $116MAug 9, 2023 to Feb 6, 2024
- HNW RAUM · $66.7M to $74.8MAug 9, 2023 to Feb 6, 2024
- Individual RAUM · $31.8M to $37.7MAug 9, 2023 to Feb 6, 2024
- Non-discretionary RAUM · $4.7M to $2.9MAug 9, 2023 to Feb 6, 2024
- Pension RAUM · $4.6M to $5.7MAug 9, 2023 to Feb 6, 2024
- RAUM · $106M to $119MAug 9, 2023 to Feb 6, 2024
- Accounts · 600 to 638Jul 11, 2022 to Feb 8, 2023
- HNW clients · 49 to 65Jul 11, 2022 to Feb 8, 2023
- Individual clients · 227 to 223Jul 11, 2022 to Feb 8, 2023
- Pension plan clients · 7.0 to unsetJul 11, 2022 to Feb 8, 2023
- Assets in custody · $38.3M to $31.7MJul 11, 2022 to Feb 8, 2023
- Discretionary RAUM · $113M to $102MJul 11, 2022 to Feb 8, 2023
- HNW RAUM · $71.5M to $66.7MJul 11, 2022 to Feb 8, 2023
Signals
2 dated events
- ••• LockedAug 4, 2021 · Control person joined · fact
- ••• LockedJun 23, 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
- Website
- E•••••••.COMreportedpublic record, Form ADV, Mar 20, 2026
- Principal office phone
- 661-368-8994reportedpublic record, Form ADV, Mar 20, 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
- $85.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026