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
C•••• • A••••••••• W••••• M•••••••••
Legal name C•••• A••••••• L••
Latest filing Feb 25, 2026
First filing on the tape Jun 30, 2021 · 18 filings
SEC status approved since Jul 30, 2021
RAUM
$935M
reported, Item 5.F
Discretionary
79%
of RAUM
Private clients
79%
$736M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$312M
derived; firm RAUM over IAPD count
Employees
12
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$935M as of Feb 25, 2026
Feb 1, 2022$246M then
HNW client RAUM$603M as of Feb 25, 2026
Feb 1, 2022$93.4M then
State-registered IARs (5.B.3)3 as of Feb 25, 2026
Feb 1, 20223 then
Employees (5.A)12 as of Feb 25, 2026
Feb 1, 20225 then
Private funds: no history
RAUM +15% over the last fiscal year+33% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Feb 25, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- 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
- $312MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 156derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.4MderivedHNW RAUM over HNW clients
- Average account
- $891,824derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 79%derivedof RAUM
- Institutional
- 21%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.9%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 consultingreportedItem 5.G
- Custody
- $401M, 277 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
- is a broker-dealer (6.A.1)
- 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)
- 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
- High-net-worth individuals$603M64%
- Pension and profit-sharing plans$199M21%
- Individuals$133M14%
- Individual clients
- 219reported
- HNW clients
- 248reported
- Pension plan clients
- 1reported
- Charitable clients
- n/areported
- Accounts
- 1,048reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $401M for 277 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.79 fund_share=0.0 institutional_share=0.21 related_bd=false related_bank=false bd_reps=7.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••• D•••••• S•••• · Managing Member, Chief Compliance Officer, And Chief Operating Officercontrolsince 06/2021 · owns 10% to 25%
- C••••• T•••• M•••••• · Managing Member, Chief Executive Officer, And Chief Investment Officercontrolsince 06/2021 · owns 10% to 25%
- C••••• D•••••• B••••••• · Trusteecontrolsince 11/1988 · owns 50% to 75% of C•••• F••••• T•••• D•• 1•••••••••
- C••••• M•••••• C• · Trusteecontrolsince 11/1988 · owns 50% to 75% of C•••• F••••• T•••• D•• 1•••••••••
- C••••• A•••• J••••• · Managing Membersince 03/2022 · owns 10% to 25%
- C••••• J•••• A•••• · Managing Membersince 03/2022 · owns 10% to 25%
Entity owners
- C•••• F••••• T•••• D•• 1••••••••• · Memberdirect · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Fullerton, Ca · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
4 against comparable advisers; where to look, not conclusions
- very high RAUM per advisorStatic outlier · filing Feb 25, 2026RAUM per registered advisor of $311,543,845 against a peer median of $106,309,121 (1261 comparable advisers, 100.0th percentile, 3.6 robust deviations)peers: independent wealth managers, $500M to $1B (1,261) · 100% percentile
- control person changedChange between filings · filing Feb 25, 2026C••••• M•••••• C• (TRUSTEE) left Schedule A between the filings of 2022-03-09 and 2026-02-25peers: independent wealth managers, $500M to $1B (1,482)
- control person changedChange between filings · filing Feb 25, 2026C••••• D•••••• B••••••• (TRUSTEE) left Schedule A between the filings of 2022-03-09 and 2026-02-25peers: independent wealth managers, $500M to $1B (1,482)
- HNW share shiftChange between filings · filing Feb 25, 2026HNW share of RAUM moved from 16.0% to 64.0% between the annual amendments of 2025-03-06 and 2026-02-25peers: independent wealth managers, $500M to $1B (1,482)
What changed
consecutive filings, newest first
- Accounts · 984 to 1,048Aug 11, 2025 to Feb 25, 2026
- HNW clients · 215 to 248Aug 11, 2025 to Feb 25, 2026
- Individual clients · 222 to 219Aug 11, 2025 to Feb 25, 2026
- Assets in custody · $324M to $401MAug 11, 2025 to Feb 25, 2026
- Discretionary RAUM · $646M to $736MAug 11, 2025 to Feb 25, 2026
- HNW RAUM · $128M to $603MAug 11, 2025 to Feb 25, 2026
- Individual RAUM · $519M to $133MAug 11, 2025 to Feb 25, 2026
- Non-discretionary RAUM · $163M to $199MAug 11, 2025 to Feb 25, 2026
- Pension RAUM · $163M to $199MAug 11, 2025 to Feb 25, 2026
- RAUM · $809M to $935MAug 11, 2025 to Feb 25, 2026
- Accounts · 819 to 984Mar 20, 2024 to Mar 6, 2025
- BD registered reps · 9 to 7Mar 20, 2024 to Mar 6, 2025
- HNW clients · 182 to 215Mar 20, 2024 to Mar 6, 2025
- Individual clients · 181 to 222Mar 20, 2024 to Mar 6, 2025
- Assets in custody · $272M to $324MMar 20, 2024 to Mar 6, 2025
- Employees · 9 to 12Mar 20, 2024 to Mar 6, 2025
- Financial planning clients · 0 to 1-10Mar 20, 2024 to Mar 6, 2025
- Discretionary RAUM · $507M to $646MMar 20, 2024 to Mar 6, 2025
- HNW RAUM · $391M to $128MMar 20, 2024 to Mar 6, 2025
- Individual RAUM · $116M to $519MMar 20, 2024 to Mar 6, 2025
- Non-discretionary RAUM · $138M to $163MMar 20, 2024 to Mar 6, 2025
- Pension RAUM · $138M to $163MMar 20, 2024 to Mar 6, 2025
- RAUM · $645M to $809MMar 20, 2024 to Mar 6, 2025
- Accounts · 385 to 819Sep 15, 2023 to Mar 20, 2024
- BD registered reps · 3 to 9Sep 15, 2023 to Mar 20, 2024
- HNW clients · 101 to 182Sep 15, 2023 to Mar 20, 2024
- Individual clients · 86 to 181Sep 15, 2023 to Mar 20, 2024
- Assets in custody · $145M to $272MSep 15, 2023 to Mar 20, 2024
- Employees · 5 to 9Sep 15, 2023 to Mar 20, 2024
- Discretionary RAUM · $280M to $507MSep 15, 2023 to Mar 20, 2024
- HNW RAUM · $223M to $391MSep 15, 2023 to Mar 20, 2024
- Individual RAUM · $56.8M to $116MSep 15, 2023 to Mar 20, 2024
- Non-discretionary RAUM · $117M to $138MSep 15, 2023 to Mar 20, 2024
- Pension RAUM · $117M to $138MSep 15, 2023 to Mar 20, 2024
- RAUM · $397M to $645MSep 15, 2023 to Mar 20, 2024
- Accounts · 137 to 385Nov 23, 2022 to Feb 27, 2023
- BD registered reps · 4 to 3Nov 23, 2022 to Feb 27, 2023
- HNW clients · 36 to 101Nov 23, 2022 to Feb 27, 2023
- Individual clients · 28 to 86Nov 23, 2022 to Feb 27, 2023
- Assets in custody · $72.4M to $145MNov 23, 2022 to Feb 27, 2023
Signals
6 dated events
- C•••• • A••••••••• W••••• M••••••••• reported RAUM $809.4M, up 25% from $645.5M (2024-03-20 to 2025-03-06)Mar 6, 2025 · RAUM change · derived
- C•••• • A••••••••• W••••• M••••••••• reported RAUM $645.5M, up 62% from $397.5M (2023-09-15 to 2024-03-20)Mar 20, 2024 · RAUM change · derived
- C•••• • A••••••••• W••••• M••••••••• reported RAUM $397.5M, up 62% from $245.7M (2022-11-23 to 2023-02-27)Feb 27, 2023 · RAUM change · derived
- C•••• • A••••••••• W••••• M••••••••• reported RAUM $245.7M, up 140% from $102.4M (2021-12-08 to 2022-02-01)Feb 1, 2022 · RAUM change · derived
- C. Monsie C•••• (Trustee) appeared on Schedule A of C•••• • A••••••••• W••••• M•••••••••Aug 4, 2021 · Control person joined · fact
- C•••• • A••••••••• W••••• M••••••••• filed its initial SEC registration (Form ADV)Jun 30, 2021 · 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
- d••@d•••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 714-525-4445reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 714-525-4446reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- d•••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 714-525-4445reportedpublic record, Form ADV, Feb 25, 2026
- Contact form
- d•••••••.comreportedpublished 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
- $312Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026