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G••••••• F•••••••• M••••••••• L••

Wealth manager with institutional or fund businessSEC-registered

Wealth manager with institutional or fund business, reporting $126M of regulatory assets across 1 registered advisors.

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

Regulatory AUM
$126M
Form ADV
Advisors
1
IAPD
Net advisor flow, 12 months
0 (0 in, 0 out)
IAPD registration history
RAUM change, last fiscal year
Not established
Private clients
24% of RAUM, $30.8M
Form ADV
Advisors (1)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 306271 · SEC 801-132935 · 3 filingsShow
CRD 306271SEC 801-132935First filing on the tape Jun 11, 2025, latest May 14, 2026SEC status approved since Jun 13, 2025IAPD
RAUM
$126M
reported, Item 5.F
Discretionary
8.6%
of RAUM
Private clients
24%
$30.8M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$126M
derived; firm RAUM over IAPD count
Employees
1
1 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$126M as of May 14, 2026
Jun 11, 2025$120M then
HNW client RAUM$30.8M as of May 14, 2026
Jun 11, 2025$27.7M then
State-registered IARs (5.B.3)0 as of May 14, 2026
Jun 11, 20250 then
Employees (5.A)1 as of May 14, 2026
Jun 11, 20251 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of May 14, 2026; every figure names its basis
Archetypes, each a printed rule
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
RAUM per advisor
$126MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$6.2MderivedHNW RAUM over HNW clients
Average account
$5.7MderivedRAUM over accounts (5.F.2.f)
Discretionary
8.6%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
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 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
  • 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
  • Corporations and businesses$95.6M76%
  • High-net-worth individuals$30.8M24%
Individual clients
n/areported
HNW clients
5reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
22reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
fixedreported
Class basis
private_client_share=0.24 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
M••• D•••• G•••••••Studio City, CaApr 20, 202035 y3
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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    No Schedule A on the extract for this adviser.
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 26 to 22
      Jun 11, 2025 to Mar 25, 2026
    • Discretionary RAUM · $10.6M to $10.9M
      Jun 11, 2025 to Mar 25, 2026
    • HNW RAUM · $27.7M to $30.8M
      Jun 11, 2025 to Mar 25, 2026
    • Non-discretionary RAUM · $109M to $116M
      Jun 11, 2025 to Mar 25, 2026
    • RAUM · $120M to $126M
      Jun 11, 2025 to Mar 25, 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
    Principal office phone
    ••• Lockedreportedpublic record, Form ADV, May 14, 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
    $126Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026