DFX Intelligence
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W••••••• A•••••••• L••
Asset manager (funds and pooled vehicles), based in Newport Beach, California, reporting $1.9B of regulatory assets across 7 registered advisors.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $1.9B
- Advisors
- 7
- Net advisor flow, 12 months
- +2 (2 in, 0 out)
- RAUM change, last fiscal year
- +28%
- Private clients
- 3.8% of RAUM, $71.2M
Form ADV
IAPD
IAPD registration history
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- RAUM a year earlier $1.5BRAUM now $1.9B
- Contact points 2
Every filed figure, and the identifiersCRD 318024 · SEC 801-126237 · 10 filingsShowHide
CRD 318024SEC 801-126237First filing on the tape Jun 28, 2022, latest Jul 9, 2026SEC status approved since Jul 28, 2022IAPD
RAUM
$1.9B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
3.8%
$71.2M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$270M
derived; firm RAUM over IAPD count
Employees
7
6 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$1.9B as of Jul 9, 2026
Mar 28, 2023$289M then
HNW client RAUM$71.2M as of Jul 9, 2026
Mar 8, 2024$101,165 then
State-registered IARs (5.B.3)0 as of Jul 9, 2026
Mar 28, 20230 then
Employees (5.A)7 as of Jul 9, 2026
Mar 28, 20236 then
Private funds: no history
RAUM +28% over the last fiscal year+87% a year over threeIARs 0 to 0offices 1 to 2
Practice profile
derived from the filing of Jul 9, 2026; every figure names its basis
- RAUM per advisor
- $270MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $63.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +28%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 assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companies, selection of other advisersreportedItem 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
- Investment companies$1.5B79%
- Corporations and businesses$325M17%
- High-net-worth individuals$71.2M3.8%
- Charitable organizations$8.4M0.4%
- Individual clients
- n/areported
- HNW clients
- 23reported
- Pension plan clients
- n/areported
- Charitable clients
- 2reported
- Accounts
- 30reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.04 fund_share=0.79 institutional_share=0.0 related_bd=false related_bank=false bd_reps=3.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| C••••••••• B••••••• | Newport Beach, Ca | May 22, 2025 | 11 y | 1 |
| M•••• L••• C••••••••Chartered Financial Analyst | Newport Beach, Ca | Jun 11, 2025 | 14 y | 0 |
| H••••• T••••• M••••Chartered Financial Analyst | Los Angeles, Ca | Jun 11, 2025 | 13 y | 0 |
| J••••• A•••••• P••••• | Newport Beach, Ca | Nov 5, 2025 | 10 y | 1 |
| H••••• B•••••• J••••••• | Newport Beach, Ca | Dec 7, 2025 | 12 y | 0 |
| M•••••• S•••• A••••••• | Newport Beach, Ca | Jan 14, 2026 | 12 y | 1 |
| N•••••• R••• A•••••• | Newport Beach, Ca | May 27, 2026 | 10 y | 0 |
Advisor movement
0 left, 2 joined in 12 months
net +2 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
- M•••••• S•••• A••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jan 14, 2026 · Other
- J••••• A•••••• P••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Nov 5, 2025 · Other
- C••••••••• B••••••• from M••••• S••••••May 22, 2025 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••• D•••• · Chief Executive Officercontrolsince 09/2021 · owns less than 5%
- M••••••••• L•••• J•••• · Chief Financial Officercontrolsince 09/2021 · owns less than 5%
- S••••• H••••••• N••••• · Chief Compliance Officercontrolsince 03/2023 · owns less than 5%
- M•••••••• T••••••• K••••• · Board Membersince 09/2021 · owns less than 5%
- R•••••• R••••• · Chief Legal Officersince 09/2021 · owns less than 5%
- S•••••• J•• C•••• · Board Membersince 09/2021 · owns less than 5%
Entity owners
- W••••••• H•••••••• I••• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- T•• W••••••• T•••• C•••••• O• N•••••• I•••n
- W••••••• T•••• C••••••n
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Newport Beach, Ca · principal | 6 | 4 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Los Angeles, CA1 employees
What changed
consecutive filings, newest first
- Other offices · 1 to 2Mar 31, 2026 to May 28, 2026
- Accounts · 14 to 30Mar 27, 2025 to Mar 31, 2026
- Advisory employees · 2 to 6Mar 27, 2025 to Mar 31, 2026
- Advisory activities · 3 to 4Mar 27, 2025 to Mar 31, 2026
- BD registered reps · 0 to 3Mar 27, 2025 to Mar 31, 2026
- Charity clients · unset to 2.0Mar 27, 2025 to Mar 31, 2026
- HNW clients · 9 to 23Mar 27, 2025 to Mar 31, 2026
- Discretionary RAUM · $1.5B to $1.9BMar 27, 2025 to Mar 31, 2026
- HNW RAUM · $29.1M to $71.2MMar 27, 2025 to Mar 31, 2026
- RAUM · $1.5B to $1.9BMar 27, 2025 to Mar 31, 2026
- Accounts · 5 to 14Mar 8, 2024 to Mar 27, 2025
- Corporate clients · 1 to 2Mar 8, 2024 to Mar 27, 2025
- HNW clients · 1 to 9Mar 8, 2024 to Mar 27, 2025
- Financial planning clients · unset to Mar 8, 2024 to Mar 27, 2025
- Discretionary RAUM · $862M to $1.5BMar 8, 2024 to Mar 27, 2025
- HNW RAUM · $101,165 to $29.1MMar 8, 2024 to Mar 27, 2025
- RAUM · $862M to $1.5BMar 8, 2024 to Mar 27, 2025
- Accounts · 1 to 5May 26, 2023 to Mar 8, 2024
- Advisory activities · 2 to 3May 26, 2023 to Mar 8, 2024
- Corporate clients · unset to 1.0May 26, 2023 to Mar 8, 2024
- HNW clients · unset to 1.0May 26, 2023 to Mar 8, 2024
- Employees · 6 to 7May 26, 2023 to Mar 8, 2024
- Discretionary RAUM · $368M to $862MMay 26, 2023 to Mar 8, 2024
- HNW RAUM · unset to 101165.0May 26, 2023 to Mar 8, 2024
- RAUM · $368M to $862MMay 26, 2023 to Mar 8, 2024
- Discretionary RAUM · $289M to $368MMar 28, 2023 to May 26, 2023
- RAUM · $289M to $368MMar 28, 2023 to May 26, 2023
- Discretionary RAUM · $43.1M to $289MDec 15, 2022 to Mar 28, 2023
- RAUM · $43.1M to $289MDec 15, 2022 to Mar 28, 2023
- Accounts · unset to 1.0Jun 28, 2022 to Nov 17, 2022
- Business name · B••••••• A•••••••• L•• to W••••••• A•••••••• L••Jun 28, 2022 to Nov 17, 2022
- Legal name · B••••••• A•••••••• L•• to W••••••• A•••••••• L••Jun 28, 2022 to Nov 17, 2022
- Discretionary RAUM · unset to 43128089.0Jun 28, 2022 to Nov 17, 2022
- Non-discretionary RAUM · unset to 0.0Jun 28, 2022 to Nov 17, 2022
- RAUM · unset to 43128089.0Jun 28, 2022 to Nov 17, 2022
Signals
7 dated events
- ••• LockedJul 9, 2026 · ria office opened · fact
- ••• LockedMar 31, 2026 · RAUM change · derived
- ••• LockedMar 27, 2025 · RAUM change · derived
- ••• LockedMar 8, 2024 · RAUM change · derived
- ••• LockedMar 28, 2023 · Control person joined · fact
- ••• LockedMar 28, 2023 · Control person joined · fact
- ••• LockedJun 28, 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
- Website
- ••• Lockedreportedpublic record, Form ADV, Jul 9, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Jul 9, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $270Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026