DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
T•••••• W••••• M••••••••• L••
Latest filing Mar 3, 2026
First filing on the tape Apr 8, 2020 · 21 filings
SEC status approved since May 8, 2020
RAUM
$535M
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
97%
$521M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$178M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$535M as of Mar 3, 2026
Mar 2, 2021$318M then
HNW client RAUM$407M as of Mar 3, 2026
Mar 2, 2021$250M then
State-registered IARs (5.B.3)3 as of Mar 3, 2026
Mar 2, 20213 then
Employees (5.A)5 as of Mar 3, 2026
Mar 2, 20214 then
Private funds: no history
RAUM +13% over the last fiscal year+23% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 3, 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
- $178MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 116derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.8MderivedHNW RAUM over HNW clients
- Average account
- $349,349derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 2.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.9%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, otherreportedItem 5.G
- Custody
- $215M, 192 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$407M76%
- Individuals$114M21%
- Pension and profit-sharing plans$14.3M2.7%
- Individual clients
- 240reported
- HNW clients
- 107reported
- Pension plan clients
- 4reported
- Charitable clients
- n/areported
- Accounts
- 1,532reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $215M for 192 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••• N••••••• G•••••Certified Financial Planner | Calabasas, Ca | May 15, 2020 | 17 y | 2 |
| N••• T• G••••• | Calabasas, Ca | May 15, 2020 | 44 y | 3 |
| K•••• A••• A•••Certified Financial Planner | Calabasas, Ca | Oct 23, 2024 | 10 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
- N••• T• G••••• from U•• F•••••••• S••••••• I•••May 15, 2020 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- B•••• N••••••• G••••• from U•• F•••••••• S••••••• I•••May 15, 2020 · 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•••May 27, 2020 · Woodland Hills, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G•••••• B••••• N••••••• · Chief Compliance Officercontrolsince 03/2020 · owns less than 5%
- G••••• J••• N•••• T• · Ownercontrolsince 03/2020 · owns 75% or more of G•• 8••• P••••••• I•••
- G•••••• B••••• N••••••• · Ownercontrolsince 03/2020 · owns 75% or more of G• E•••••••• I••
Entity owners
- G•• 8••• P••••••• I••• · Ownerdirect · owns 50% to 75%
- G• E•••••••• I•• · Ownerdirect · 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 |
|---|---|---|---|---|---|
| Calabasas, Ca · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,422 to 1,532Jun 2, 2025 to Mar 3, 2026
- HNW clients · 105 to 107Jun 2, 2025 to Mar 3, 2026
- Individual clients · 229 to 240Jun 2, 2025 to Mar 3, 2026
- Assets in custody · $195M to $215MJun 2, 2025 to Mar 3, 2026
- Employees · 4 to 5Jun 2, 2025 to Mar 3, 2026
- Discretionary RAUM · $434M to $516MJun 2, 2025 to Mar 3, 2026
- HNW RAUM · $363M to $407MJun 2, 2025 to Mar 3, 2026
- Individual RAUM · $97.8M to $114MJun 2, 2025 to Mar 3, 2026
- Non-discretionary RAUM · $39.6M to $19.5MJun 2, 2025 to Mar 3, 2026
- Pension RAUM · $13.0M to $14.3MJun 2, 2025 to Mar 3, 2026
- RAUM · $474M to $535MJun 2, 2025 to Mar 3, 2026
- Financial planning clients · 251-500 to 251-500Feb 25, 2025 to Jun 2, 2025
- HNW clients · 104 to 105Jan 7, 2025 to Feb 25, 2025
- Individual clients · 225 to 229Jan 7, 2025 to Feb 25, 2025
- Pension plan clients · 3 to 4Jan 7, 2025 to Feb 25, 2025
- Accounts · 1,227 to 1,422Jan 7, 2025 to Feb 25, 2025
- Advisory employees · 2 to 3Jan 7, 2025 to Feb 25, 2025
- Assets in custody · $158M to $195MJan 7, 2025 to Feb 25, 2025
- State-registered IARs · 2 to 3Jan 7, 2025 to Feb 25, 2025
- Discretionary RAUM · $337M to $434MJan 7, 2025 to Feb 25, 2025
- HNW RAUM · $291M to $363MJan 7, 2025 to Feb 25, 2025
- Individual RAUM · $73.2M to $97.8MJan 7, 2025 to Feb 25, 2025
- Non-discretionary RAUM · $37.6M to $39.6MJan 7, 2025 to Feb 25, 2025
- Pension RAUM · $10.9M to $13.0MJan 7, 2025 to Feb 25, 2025
- RAUM · $375M to $474MJan 7, 2025 to Feb 25, 2025
- Accounts · 1,176 to 1,227Mar 2, 2023 to Mar 1, 2024
- Advisory employees · 3 to 2Mar 2, 2023 to Mar 1, 2024
- HNW clients · 101 to 104Mar 2, 2023 to Mar 1, 2024
- Individual clients · 220 to 225Mar 2, 2023 to Mar 1, 2024
- Assets in custody · $169M to $158MMar 2, 2023 to Mar 1, 2024
- Employees · 5 to 4Mar 2, 2023 to Mar 1, 2024
- State-registered IARs · 3 to 2Mar 2, 2023 to Mar 1, 2024
- Discretionary RAUM · $263M to $337MMar 2, 2023 to Mar 1, 2024
- HNW RAUM · $215M to $291MMar 2, 2023 to Mar 1, 2024
- Individual RAUM · $64.1M to $73.2MMar 2, 2023 to Mar 1, 2024
- Non-discretionary RAUM · $25.4M to $37.6MMar 2, 2023 to Mar 1, 2024
- Pension RAUM · $9.4M to $10.9MMar 2, 2023 to Mar 1, 2024
- RAUM · $288M to $375MMar 2, 2023 to Mar 1, 2024
- Accounts · 1,054 to 1,176Nov 22, 2022 to Mar 2, 2023
- HNW clients · 97 to 101Nov 22, 2022 to Mar 2, 2023
Signals
1 dated events
- T•••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Apr 8, 2020 · 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
- info@triagenwealth.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- leslie.sagers@triagenwealth.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- mar.sepulveda@triagenwealth.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 818-732-8553reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 818-649-2335reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/T••••••-WEALTH-MANAGEMENTreportedpublic record, Form ADV, Sep 19, 2026
- Website
- T••••••WEALTH.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 818-732-8553reportedpublic record, Form ADV, Mar 3, 2026
- Team page
- triagenwealth.com/meet-the-teamreportedpublished 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
- $178Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026