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2• W••• W••••• M••••••••• L••

Independent wealth managerSEC-registered· Tustin, Californiawebsite

Independent wealth manager, based in Tustin, California, reporting $137M of regulatory assets across 2 registered advisors.

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

Regulatory AUM
$137M
Form ADV
Advisors
2
IAPD
Net advisor flow, 12 months
0 (0 in, 0 out)
IAPD registration history
RAUM change, last fiscal year
+28%
Form ADV, consecutive annual filings
Private clients
100% of RAUM, $137M
Form ADV
Advisors (2)Advisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 304532 · SEC 801-132023 · 3 filingsShow
CRD 304532SEC 801-132023First filing on the tape Feb 3, 2025, latest Jun 30, 2026SEC status approved since Mar 5, 2025IAPD
RAUM
$137M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$137M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$68.5M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$137M as of Jun 30, 2026
Feb 3, 2025$107M then
HNW client RAUM$134M as of Jun 30, 2026
Feb 3, 2025$105M then
State-registered IARs (5.B.3)2 as of Jun 30, 2026
Feb 3, 20252 then
Employees (5.A)2 as of Jun 30, 2026
Feb 3, 20252 then
Private funds: no history
RAUM +28% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Jun 30, 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
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
RAUM per advisor
$68.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
18derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$4.6MderivedHNW RAUM over HNW clients
Average account
$1.7MderivedRAUM 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
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+21%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+9.7%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisers, 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$134M98%
  • Individuals$3.4M2.5%
Individual clients
6reported
HNW clients
29reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
83reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
M•••••• F•••••• S•••••Chartered Financial AnalystTustin, CaJul 25, 201922 y0
S••• F••• L•••••Certified Financial PlannerTustin, CaJul 18, 202015 y4
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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • L•••••• S•••• F••• · Managing Member, And Chief Compliance Officercontrol
      since 07/2020 · owns 25% to 50%
    • S•••••• M••••••• F•••••• · Managing Membercontrol
      since 06/2019 · 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
    OfficeAdvisorsJoinedLeftTeams outForming
    Tustin, Ca · principal200
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 79 to 83
      Feb 10, 2026 to Jun 30, 2026
    • HNW clients · 28 to 29
      Feb 10, 2026 to Jun 30, 2026
    • Discretionary RAUM · $129M to $137M
      Feb 10, 2026 to Jun 30, 2026
    • HNW RAUM · $126M to $134M
      Feb 10, 2026 to Jun 30, 2026
    • Individual RAUM · $2.8M to $3.4M
      Feb 10, 2026 to Jun 30, 2026
    • RAUM · $129M to $137M
      Feb 10, 2026 to Jun 30, 2026
    • Accounts · 73 to 79
      Feb 3, 2025 to Feb 10, 2026
    • HNW clients · 25 to 28
      Feb 3, 2025 to Feb 10, 2026
    • Discretionary RAUM · $107M to $129M
      Feb 3, 2025 to Feb 10, 2026
    • HNW RAUM · $105M to $126M
      Feb 3, 2025 to Feb 10, 2026
    • Individual RAUM · $2.1M to $2.8M
      Feb 3, 2025 to Feb 10, 2026
    • RAUM · $107M to $129M
      Feb 3, 2025 to Feb 10, 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
    Business email
    ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
    Business phone
    ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
    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, Jun 30, 2026
    Principal office phone
    ••• Lockedreportedpublic record, Form ADV, Jun 30, 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
    $68.5Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026