DFX Intelligence

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B••••• W••••• M••••••••• L••

Independent wealth managerSEC-registered· Redlands, Californiawebsite

Independent wealth manager, based in Redlands, California, reporting $140M of regulatory assets across 1 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-03-13 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $140M
Advisors: 1
Net advisor flow, 12 months: 0 (0 in, 0 out)
RAUM change, last fiscal year: +14%
Private clients: 98% of RAUM, $138M

Advisors (1)Advisor movement Where the RAUM sits

As of 2026-03-13 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Why this matters

private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $122,542,571 to $140,080,363, advisors 1 to 1, private clients 171 to 133, offices 0 to 0 (2025-02-21 to 2026-03-13)
2026-03-13
private clients fell 20 percent or more while RAUM per client rose 30 percent or more 140080363
3 published business contact points are on record, each with its source.
Contact points 3

Every filed figure, and the identifiersCRD 290550 · SEC 801-132247 · 2 filingsShow

CRD 290550SEC 801-132247First filing on the tape Feb 21, 2025, latest Mar 13, 2026SEC status approved since Mar 24, 2025IAPD

RAUM

$140M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

98%

$138M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$140M

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

2 filings and snapshots on the tape

RAUM$140M as of Mar 13, 2026

Feb 21, 2025$123M then

HNW client RAUM$103M as of Mar 13, 2026

Feb 21, 2025$89.1M then

State-registered IARs (5.B.3)1 as of Mar 13, 2026

Feb 21, 20251 then

Employees (5.A)1 as of Mar 13, 2026

Feb 21, 20251 then

Private funds: no history

RAUM +14% over the last fiscal yearIARs 1 to 1

Practice profile

derived from the filing of Mar 13, 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: $140MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 133derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.6MderivedHNW RAUM over HNW clients
Average account: $479,727derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 1.7%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: +14%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: -22%derived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: portfolio management for individuals, pension consulting, educational seminarsreportedItem 5.G
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

is an insurance broker or agent (6.A.6)
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$103M74%
Individuals$34.7M25%
Charitable organizations$2.4M1.7%

Individual clients: 94reported
HNW clients: 39reported
Pension plan clients: 0reported
Charitable clients: 3reported
Accounts: 292reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUMreported
Class basis: private_client_share=0.98 fund_share=0.0 institutional_share=0.02 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
M•••••• L•• B•••••	Redlands, Ca	Jan 1, 2025	26 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

M•••••• L•• B••••• from L•• F•••••••• L••
Jan 1, 2025 · RIA to RIA

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

B•••••• M••••••• L•• · Chief Compliance Officer/Managing Member/Investment Advisor Representativecontrol
since 10/2017 · 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

clients down average size upCombination · filing Mar 13, 2026
private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $122,542,571 to $140,080,363, advisors 1 to 1, private clients 171 to 133, offices 0 to 0 (2025-02-21 to 2026-03-13)
peers: independent wealth managers, $100M to $500M (5,679)

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 280 to 292
Feb 21, 2025 to Mar 13, 2026
Charity clients · 2 to 3
Feb 21, 2025 to Mar 13, 2026
Corporate clients · unset to 0.0
Feb 21, 2025 to Mar 13, 2026
HNW clients · 51 to 39
Feb 21, 2025 to Mar 13, 2026
Individual clients · 120 to 94
Feb 21, 2025 to Mar 13, 2026
Pension plan clients · unset to 0.0
Feb 21, 2025 to Mar 13, 2026
Pooled vehicle clients · unset to 0.0
Feb 21, 2025 to Mar 13, 2026
Discretionary RAUM · $123M to $140M
Feb 21, 2025 to Mar 13, 2026
HNW RAUM · $89.1M to $103M
Feb 21, 2025 to Mar 13, 2026
Individual RAUM · $31.5M to $34.7M
Feb 21, 2025 to Mar 13, 2026
Pension RAUM · unset to 0.0
Feb 21, 2025 to Mar 13, 2026
Pooled vehicle RAUM · unset to 0.0
Feb 21, 2025 to Mar 13, 2026
RAUM · $123M to $140M
Feb 21, 2025 to Mar 13, 2026

Signals

No event on the tape.

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: ••• Lockedreportedpublic record, Form ADV, Mar 13, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 13, 2026
Team page: ••• 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: $140Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026