DFX Intelligence
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C•••••• C• G••••• L••
Wealth manager with institutional or fund business, based in Irvine, California, reporting $227M of regulatory assets across 4 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
- $227M
- Advisors
- 4
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- +30%
- Private clients
- 36% of RAUM, $82.0M
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
- RAUM a year earlier $175MRAUM now $227M
- private-client share of RAUM 0.360534674113012
- Contact points 7
Every filed figure, and the identifiersCRD 304523 · SEC 801-120526 · 20 filingsShowHide
CRD 304523SEC 801-120526First filing on the tape Jun 28, 2019, latest Aug 6, 2026SEC status approved since Mar 15, 2021IAPD
RAUM
$227M
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
36%
$82.0M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$56.8M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$227M as of Aug 6, 2026
Mar 5, 2020$76.2M then
HNW client RAUM$39.4M as of Aug 6, 2026
Mar 5, 2020$42.9M then
State-registered IARs (5.B.3)3 as of Aug 6, 2026
Mar 5, 20202 then
Employees (5.A)3 as of Aug 6, 2026
Mar 5, 20203 then
Private funds: no history
RAUM +30% over the last fiscal year+23% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Aug 6, 2026; every figure names its basis
- RAUM per advisor
- $56.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 31derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $383,310derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%derivedof RAUM
- Institutional
- 0.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.8derivedItem 5.A over advisors
- Advisors per office
- 1.0derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +30%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.8%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 consulting, otherreportedItem 5.G
- Custody
- $38.4M, 200 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
- Corporations and businesses$145M64%
- Individuals$42.5M19%
- High-net-worth individuals$39.4M17%
- Pension and profit-sharing plans$740,4280.3%
- Individual clients
- 104reported
- HNW clients
- 21reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 593reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $38.4M for 200 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.36 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••••• A•• M•••••••• | Irvine, Ca | Aug 9, 2019 | 19 y | 4 |
| T••• J•••• C•••••• | Irvine, Ca | Aug 12, 2019 | 22 y | 5 |
| A•• M•••• M••••••• | Irvine, Ca | Jan 26, 2022 | 22 y | 0 |
| T••••• J••••••• N••• | Irvine, Ca | Feb 18, 2022 | 11 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
none on the tape
Joined, latest
- T••• J•••• C•••••• from U•• F•••••••• S••••••• I•••Aug 12, 2019 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- J•••••• A•• M•••••••• from U•• F•••••••• S••••••• I•••Aug 9, 2019 · 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 U•• F•••••••• S••••••• I•••Aug 26, 2019 · Irvine, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••• T•••• J•••• · Managing Partner & Senior Portfolio Managercontrolsince 01/2022 · owns 50% to 75%
- M••••••••• J••••••• A•• · Managing Partner & Chief Compliance Officercontrolsince 10/2019 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Irvine, Ca · principal | 4 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- wealth to institutional shiftCombination · filing Mar 17, 2026private-client share fell 15 points or more while institutional share rose 15 points or more. RAUM $175,440,699 to $227,302,570, advisors 3 to 3, private clients 124 to 125, offices 3 to 3 (2025-02-13 to 2026-03-17)peers: independent wealth managers, $100M to $500M (5,679)
- client mix shiftChange between filings · filing Mar 17, 2026private-client share of RAUM moved from 54.0% to 36.0% between the annual amendments of 2025-02-13 and 2026-03-17peers: independent wealth managers, $100M to $500M (5,679)
- institutional asset share shiftChange between filings · filing Mar 17, 2026institutional share of RAUM moved from 46.0% to 64.0% between the annual amendments of 2025-02-13 and 2026-03-17peers: independent wealth managers, $100M to $500M (5,679)
What changed
consecutive filings, newest first
- Related adviser · false to trueMar 17, 2026 to Aug 6, 2026
- Accounts · 473 to 593Feb 13, 2025 to Mar 17, 2026
- Corporate clients · 106 to 203Feb 13, 2025 to Mar 17, 2026
- HNW clients · 23 to 21Feb 13, 2025 to Mar 17, 2026
- Individual clients · 101 to 104Feb 13, 2025 to Mar 17, 2026
- Assets in custody · $37.4M to $38.4MFeb 13, 2025 to Mar 17, 2026
- Financial planning clients · 0 to 1-10Feb 13, 2025 to Mar 17, 2026
- Discretionary RAUM · $159M to $215MFeb 13, 2025 to Mar 17, 2026
- HNW RAUM · $56.6M to $39.4MFeb 13, 2025 to Mar 17, 2026
- Individual RAUM · $37.4M to $42.5MFeb 13, 2025 to Mar 17, 2026
- Non-discretionary RAUM · $16.2M to $12.5MFeb 13, 2025 to Mar 17, 2026
- Pension RAUM · $702,055 to $740,428Feb 13, 2025 to Mar 17, 2026
- RAUM · $175M to $227MFeb 13, 2025 to Mar 17, 2026
- Accounts · 431 to 473Sep 24, 2024 to Feb 13, 2025
- Corporate clients · 14 to 106Sep 24, 2024 to Feb 13, 2025
- HNW clients · 25 to 23Sep 24, 2024 to Feb 13, 2025
- Individual clients · 103 to 101Sep 24, 2024 to Feb 13, 2025
- Pension plan clients · 1.0 to unsetSep 24, 2024 to Feb 13, 2025
- Assets in custody · $49.4M to $37.4MSep 24, 2024 to Feb 13, 2025
- Financial planning clients · 0 to 0Sep 24, 2024 to Feb 13, 2025
- Other offices · 0 to 3Sep 24, 2024 to Feb 13, 2025
- Discretionary RAUM · $111M to $159MSep 24, 2024 to Feb 13, 2025
- HNW RAUM · $77.3M to $56.6MSep 24, 2024 to Feb 13, 2025
- Individual RAUM · $34.9M to $37.4MSep 24, 2024 to Feb 13, 2025
- Non-discretionary RAUM · $18.8M to $16.2MSep 24, 2024 to Feb 13, 2025
- Pension RAUM · $682,479 to $702,055Sep 24, 2024 to Feb 13, 2025
- RAUM · $130M to $175MSep 24, 2024 to Feb 13, 2025
- Accounts · 380 to 431Sep 19, 2023 to Mar 12, 2024
- Advisory activities · 4 to 5Sep 19, 2023 to Mar 12, 2024
- Corporate clients · 6 to 14Sep 19, 2023 to Mar 12, 2024
- Individual clients · 98 to 103Sep 19, 2023 to Mar 12, 2024
- Assets in custody · $19.4M to $49.4MSep 19, 2023 to Mar 12, 2024
- Discretionary RAUM · $104M to $111MSep 19, 2023 to Mar 12, 2024
- HNW RAUM · $80.0M to $77.3MSep 19, 2023 to Mar 12, 2024
- Individual RAUM · $29.8M to $34.9MSep 19, 2023 to Mar 12, 2024
- Non-discretionary RAUM · $17.8M to $18.8MSep 19, 2023 to Mar 12, 2024
- Pension RAUM · $629,879 to $682,479Sep 19, 2023 to Mar 12, 2024
- RAUM · $122M to $130MSep 19, 2023 to Mar 12, 2024
- Accounts · 337 to 380Sep 15, 2022 to Mar 3, 2023
- Advisory employees · 2 to 3Sep 15, 2022 to Mar 3, 2023
Signals
4 dated events
- ••• LockedMar 1, 2022 · Control person joined · fact
- ••• LockedNov 25, 2019 · Control person left · inference
- ••• LockedOct 24, 2019 · Control person joined · fact
- ••• LockedJun 28, 2019 · 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
- ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
- Website
- ••• Lockedreportedpublic record, Form ADV, Aug 6, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Aug 6, 2026
- Contact form
- ••• Lockedreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- ••• Lockedreportedpublished 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $56.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026