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

M••••• W••••• M••••••••• I•••

Independent wealth managerAnaheim, CaliforniaCRD 318592SEC 801-129053websiteIAPD
Latest filing Jul 10, 2026
First filing on the tape Oct 13, 2023 · 13 filings
SEC status approved since Nov 20, 2023
RAUM
$279M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
100%
$279M individuals and HNW
Advisors
12
registered through the firm on IAPD
RAUM per advisor
$23.3M
derived; firm RAUM over IAPD count
Employees
15
10 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$279M as of Jul 10, 2026
Feb 29, 2024$127M then
HNW client RAUM$102M as of Jul 10, 2026
Feb 29, 2024$40.7M then
State-registered IARs (5.B.3)10 as of Jul 10, 2026
Feb 29, 20246 then
Employees (5.A)15 as of Jul 10, 2026
Feb 29, 202412 then
Private funds: no history
RAUM +51% over the last fiscal yearIARs 8 to 10
Practice profile
derived from the filing of Jul 10, 2026; every figure names its basis
Archetypes, each a printed rule
  • Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
RAUM per advisor
$23.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
59derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.2MderivedHNW RAUM over HNW clients
Average account
$200,611derivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
2.4derived5 offices incl. principal (1.F.5)
RAUM growth, one year
+51%derivedbetween the last two annual amendments
Advisor growth, one year
+25%derivedItem 5.B.3 between annual amendments
Client growth, one year
+41%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, selection of other advisers, educational seminarsreportedItem 5.G
Custody
$84.1M, 355 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)
  • 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)
  • has custody of client securities (9.A.1.b)
  • marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$177M63%
  • High-net-worth individuals$102M37%
Individual clients
624reported
HNW clients
83reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1,393reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$84.1M for 355 clientsreported
Compensation
% of AUMreported
Class basis
private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
12 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
T••••• B••••••• H•••••Chartered Financial ConsultantAnaheim, CaApr 29, 202211 y1
F••••• T••••• M•••••Anaheim, CaApr 29, 202231 y3
G••••••• A•••• S•••••••Anaheim, CaApr 14, 202311 y0
R•••••• R••••• L•••Anaheim, CaJan 25, 202411 y0
R••• M•••••• T•••Anaheim, CaJan 26, 202412 y1
A•••• L•••• W•••••••••Anaheim, CaOct 16, 202412 y1
G••• D••• F••••••Anaheim, CaDec 26, 202413 y0
N••••••• A•••••• R•••••Anaheim, CaMar 7, 202510 y1
C••••••••• B•••• R••••••Anaheim, CaJul 8, 202538 y7
A••••• D•••••• L•••••San Diego, Ca Apr 21, 202610 y1
S••••••• D•••• M•••••Anaheim, CaApr 21, 202610 y1
K•••• M•••••• M••••••••Anaheim, CaJul 7, 202615 y0
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 headcount3 left over 36 months
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • M•••••• F•••••• T••••• · President, Ceo, Ccocontrol
      since 01/2022 · owns 75% or more
    • H•••••• T•••••• B••••••• · Secretary/Investment Advisor Representative
      since 01/2022 · owns 5% to 10%
    Related persons
    Schedule D 7.A
    • M••••• I•••••••• • F•••••••• S•••••••
      real estaten
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Anaheim, Ca · principal1230
    Offices
    Schedule D 1.F, the 25 largest
    • Arcadia, CA6 employees
    • Glendale, CA6 employees
    • Ontario, CA6 employees
    • San Diego, CA6 employees
    ADV anomalies
    1 against comparable advisers; where to look, not conclusions
    • RAUM up 50 %Change between filings · filing Feb 17, 2026
      RAUM (Item 5.F) moved from $185,148,365 to $279,450,769 (+51.0%) between the annual amendments of 2025-03-10 and 2026-02-17; the peer median change was +15.0% (4550 comparable advisers, 96.0th percentile of changes)
      peers: independent wealth managers, $100M to $500M (4,550) · 96% percentile
    How anomalies are measured
    What changed
    consecutive filings, newest first
    • Accounts · 1,081 to 1,393
      Oct 14, 2025 to Feb 17, 2026
    • Advisory employees · 8 to 10
      Oct 14, 2025 to Feb 17, 2026
    • HNW clients · 72 to 83
      Oct 14, 2025 to Feb 17, 2026
    • Individual clients · 430 to 624
      Oct 14, 2025 to Feb 17, 2026
    • Assets in custody · unset to 84082913.0
      Oct 14, 2025 to Feb 17, 2026
    • Custody of client assets · false to true
      Oct 14, 2025 to Feb 17, 2026
    • State-registered IARs · 8 to 10
      Oct 14, 2025 to Feb 17, 2026
    • Discretionary RAUM · $183M to $278M
      Oct 14, 2025 to Feb 17, 2026
    • HNW RAUM · $78.4M to $102M
      Oct 14, 2025 to Feb 17, 2026
    • Individual RAUM · $107M to $177M
      Oct 14, 2025 to Feb 17, 2026
    • Non-discretionary RAUM · $2.2M to $1.9M
      Oct 14, 2025 to Feb 17, 2026
    • RAUM · $185M to $279M
      Oct 14, 2025 to Feb 17, 2026
    • Financial planning clients · 0 to 0
      Jul 15, 2025 to Oct 14, 2025
    • Accounts · 426 to 1,081
      Feb 29, 2024 to Mar 10, 2025
    • Advisory employees · 5 to 8
      Feb 29, 2024 to Mar 10, 2025
    • HNW clients · 43 to 72
      Feb 29, 2024 to Mar 10, 2025
    • Individual clients · 383 to 430
      Feb 29, 2024 to Mar 10, 2025
    • Employees · 12 to 15
      Feb 29, 2024 to Mar 10, 2025
    • State-registered IARs · 6 to 8
      Feb 29, 2024 to Mar 10, 2025
    • Discretionary RAUM · $127M to $183M
      Feb 29, 2024 to Mar 10, 2025
    • HNW RAUM · $40.7M to $78.4M
      Feb 29, 2024 to Mar 10, 2025
    • Individual RAUM · $86.1M to $107M
      Feb 29, 2024 to Mar 10, 2025
    • Non-discretionary RAUM · $0 to $2.2M
      Feb 29, 2024 to Mar 10, 2025
    • RAUM · $127M to $185M
      Feb 29, 2024 to Mar 10, 2025
    • Accounts · 811 to 426
      Nov 27, 2023 to Feb 29, 2024
    • Advisory employees · 6 to 5
      Nov 27, 2023 to Feb 29, 2024
    • HNW clients · 41 to 43
      Nov 27, 2023 to Feb 29, 2024
    • Individual clients · 355 to 383
      Nov 27, 2023 to Feb 29, 2024
    • Employees · 6 to 12
      Nov 27, 2023 to Feb 29, 2024
    • Discretionary RAUM · $107M to $127M
      Nov 27, 2023 to Feb 29, 2024
    • HNW RAUM · $35.7M to $40.7M
      Nov 27, 2023 to Feb 29, 2024
    • Individual RAUM · $71.2M to $86.1M
      Nov 27, 2023 to Feb 29, 2024
    • RAUM · $107M to $127M
      Nov 27, 2023 to Feb 29, 2024
    Signals
    5 dated events
    • C•••••• S••••••• left M••••• W••••• M••••••••• I••• for F••••• I••••••••• (registered 2025-10-27)
      Jul 7, 2025 · Advisor changed firm · fact
    • C••••• N••••• left M••••• W••••• M••••••••• I••• for T••••• W••••• P•••••••• L•• (registered 2023-12-26)
      Dec 14, 2023 · Advisor changed firm · fact
    • J••••• N••••••• D••••• left M••••• W••••• M••••••••• I••• for M••••••••• R••••••••• (registered 2024-03-22)
      Dec 14, 2023 · Advisor changed firm · fact
    • M••••• W••••• M••••••••• I••• filed its initial SEC registration (Form ADV)
      Oct 13, 2023 · ria f•••• adv filing · fact
    • 3 advisors left A• W••••• M••••••••• L•• (Anaheim, CA) for M••••• W••••• M••••••••• I••• on the same day
      Aug 2, 2022 · Team lift-out · derived
    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
    Firm profile
    linkedin.com/company/mosley-wealth-management/?viewAsMember=reportedpublic record, Form ADV, Sep 18, 2026
    Principal office phone
    (714) 421-4288reportedpublic record, Form ADV, Jul 10, 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
    $23.3Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026