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F••••••• F•••••••• M••••••••• L••

Former SEC-registered adviserFormer SEC adviser· Seal Beach, Californiawebsite

Former SEC-registered adviser, based in Seal Beach, California, reporting $22.4M of regulatory assets across 1 registered advisors.

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

Last reported RAUM
$22.4M
Form ADV
Advisors
1
IAPD
Net advisor flow, 12 months
0
0 joined, 0 left
IAPD registration history
Private clients
100%
of RAUM, $22.4M
Form ADV
See where advisers wentSee teams that moved
More
Advisors (1)Where 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 322268 · SEC 801-126608 · 6 filingsShow
CRD 322268SEC 801-126608First filing on the tape Aug 23, 2022, latest Feb 10, 2023IAPD
RAUM
$22.4M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$22.4M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$22.4M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape

Filed figures over time · the tape starts Aug 23, 2022

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$22.4M as of Feb 10, 2023
Aug 23, 2022$0 then
HNW client RAUM$20.0M as of Feb 10, 2023
Jan 13, 2023$20.0M then
State-registered IARs (5.B.3)1 as of Feb 10, 2023
Aug 23, 20221 then
Employees (5.A)1 as of Feb 10, 2023
Aug 23, 20221 then
Private funds: no history
Practice profile
derived from the filing of Feb 10, 2023; every figure names its basis
The rule behind each archetype, and every derived figureShow
RAUM per advisor
$22.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
41derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$800,000derivedHNW RAUM over HNW clients
Average account
$194,783derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 office incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
Custody
$22.4M, 42 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing

89% high-net-worth individuals, 11% individuals

The breakdown by client type, and the client counts2 client typesShow
  • High-net-worth individuals$20.0M89%
  • Individuals$2.4M11%
Individual clients
16reported
HNW clients
25reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
115reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$22.4M for 42 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisor movement
0 left over 36 months
0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount
Left, latest
none on the tape
    Joined, latest
    Every departureEvery arrival
    Advisors registered through the firm
    1 on IAPD today; the longest tenured first
    NameBranchHere sinceIn industryPrior firms
    M•••• F•••••••••Certified Financial PlannerSeal Beach, CaSep 23, 202223 y3
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • F••••••••• M•••• · Managing Member & Chief Compliance Officercontrol
      since 08/2022 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Advisory activities · 3 to 4
      Jan 13, 2023 to Feb 10, 2023
    • Assets in custody · unset to 22400000.0
      Jan 13, 2023 to Feb 10, 2023
    • Custody of client assets · false to true
      Jan 13, 2023 to Feb 10, 2023
    • Related broker-dealer · true to false
      Jan 13, 2023 to Feb 10, 2023
    • Accounts · 0 to 115
      Sep 22, 2022 to Jan 13, 2023
    Full history · 11 changes
    • HNW clients · unset to 25.0
      Sep 22, 2022 to Jan 13, 2023
    • Individual clients · unset to 16.0
      Sep 22, 2022 to Jan 13, 2023
    • Discretionary RAUM · $0 to $22.4M
      Sep 22, 2022 to Jan 13, 2023
    • HNW RAUM · unset to 20000000.0
      Sep 22, 2022 to Jan 13, 2023
    • Individual RAUM · unset to 2400000.0
      Sep 22, 2022 to Jan 13, 2023
    • RAUM · $0 to $22.4M
      Sep 22, 2022 to Jan 13, 2023
    Signals
    1 dated events
    • ••• Locked
      Aug 23, 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, Mar 20, 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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    $22.4Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026