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Independent wealth managerSEC-registered· Poway, Californiawebsite

Independent wealth manager, based in Poway, California, reporting $6.9M of regulatory assets.

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

Regulatory AUM
$6.9M
Advisors
0
RAUM change, 1 year
+0.0%
Private clients
100%
of RAUM, $6.9M
See where advisers wentSee teams that moved
More
AdvisorsWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. No dated change on record yet.

Every filed figure, and the identifiersCRD 317263 · SEC 801-123596 · 10 filingsShow
CRD 317263SEC 801-123596First filing on the tape Mar 2, 2022, latest Oct 20, 2025SEC status approved since Feb 14, 2023IAPD
RAUM
$6.9M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$6.9M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
Not computed
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape

RAUM +0.0% over the last fiscal year · the tape starts Mar 2, 2022

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$6.9M as of Oct 20, 2025
Mar 28, 2024$6.9M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Oct 20, 2025
Mar 28, 20240 then
Employees (5.A)3 as of Oct 20, 2025
Mar 28, 20244 then
Private funds: no history
RAUM +0.0% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Oct 20, 2025; every figure names its basis
The rule behind each archetype, and every derived figureShow
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$2,988derivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 office incl. principal (1.F.5)
RAUM growth, one year
+0.0%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for pooled vehicles, otherreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing

100% individuals

The breakdown by client type, and the client counts1 client typesShow
  • Individuals$6.9M100%
Individual clients
2,304reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2,304reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
RAUM: 100% private clients, 0% pooled funds, 0% institutions; no related broker-dealer; no related bankderived
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Advisors registered through the firm
      0 on IAPD today; the longest tenured first
      No representative is registered through this CRD on IAPD.
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • B••••••• M••••••• D•••• · Executive Officercontrol
        since 11/2021 · owns less than 5%
      • H•••• T•••••• C••••• · Executive Officercontrol
        since 11/2021 · owns less than 5%
      • J••••• J••••• A••••• · Chief Compliance Officercontrol
        since 11/2021 · owns less than 5%
      • S••••• P•••••• A••••• · Executive Officercontrol
        since 11/2021 · owns less than 5%
      Entity owners
      • C•••••• I••• · Manager
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      • C•••••• I•••
        pooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Financial planning clients · 0 to 0
        Mar 31, 2025 to Oct 20, 2025
      • Advisory employees · 4 to 3
        Mar 28, 2024 to Mar 31, 2025
      • Employees · 4 to 3
        Mar 28, 2024 to Mar 31, 2025
      • Accounts · 0 to 2,304
        Feb 11, 2023 to Mar 28, 2024
      • Individual clients · unset to 2304.0
        Feb 11, 2023 to Mar 28, 2024
      Full history · 19 changes
      • Individual RAUM · unset to 6883300.0
        Feb 11, 2023 to Mar 28, 2024
      • Non-discretionary RAUM · $0 to $6.9M
        Feb 11, 2023 to Mar 28, 2024
      • RAUM · $0 to $6.9M
        Feb 11, 2023 to Mar 28, 2024
      • Accounts · 16 to 0
        Jun 16, 2022 to Feb 3, 2023
      • Advisory employees · 3 to 4
        Jun 16, 2022 to Feb 3, 2023
      • HNW clients · 15.0 to unset
        Jun 16, 2022 to Feb 3, 2023
      • Pooled vehicle clients · 1.0 to unset
        Jun 16, 2022 to Feb 3, 2023
      • Assets in custody · unset to 0.0
        Jun 16, 2022 to Feb 3, 2023
      • HQ city · SAN DIEGO to POWAY
        Jun 16, 2022 to Feb 3, 2023
      • Discretionary RAUM · $1.5M to $0
        Jun 16, 2022 to Feb 3, 2023
      • HNW RAUM · 1505000.0 to unset
        Jun 16, 2022 to Feb 3, 2023
      • Non-discretionary RAUM · $1.5M to $0
        Jun 16, 2022 to Feb 3, 2023
      • Pooled vehicle RAUM · 1492454.0 to unset
        Jun 16, 2022 to Feb 3, 2023
      • RAUM · $3.0M to $0
        Jun 16, 2022 to Feb 3, 2023
      Signals
      3 dated events
      • ••• Locked
        Oct 20, 2025 · ria principal change · derived
      • ••• Locked
        Oct 20, 2025 · Control person left · inference
      • ••• Locked
        Mar 2, 2022 · 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 phone
      ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
      Website
      ••• Lockedreportedpublic record, Form ADV, Oct 20, 2025
      Principal office phone
      ••• Lockedreportedpublic record, Form ADV, Oct 20, 2025
      Contact form
      ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
      Provenance
      Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show
      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
      Not computedderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026

      Not yet on record: net advisor flow, 12 months.