DFX Intelligence

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S••••••••• W••••• M••••••••• S••••••••

Independent wealth managerSEC-registered· Huntington Beach, Californiawebsite

Independent wealth manager, based in Huntington Beach, California, reporting $153M of regulatory assets across 2 registered advisors.

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

As of 2026-03-17 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $153M
Advisors: 2
Net advisor flow, 12 months: 0
RAUM change, 1 year: +23%
Private clients: 97%

See where advisers went See teams that moved

Advisors (2)Where the RAUM sits

As of 2026-03-17 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 17 Mar 2026, RAUM $124M to $153M (+23.4%) on the Form ADV filed 17 Mar 2026, while advisors on the filing rose 1 to 2.

Every filed figure, and the identifiersCRD 322851 · SEC 801-127270 · 9 filingsShow

CRD 322851SEC 801-127270Legal name T•• F••••••••• I•••First filing on the tape Jan 3, 2023, latest Mar 17, 2026SEC status approved since Feb 2, 2023IAPD

RAUM

$153M

reported, Item 5.F

Discretionary

99%

of RAUM

Private clients

97%

$148M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$76.5M

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

9 filings and snapshots on the tape

RAUM +23% over the last fiscal year · the tape starts Jan 3, 2023

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$153M as of Mar 17, 2026

Mar 8, 2024$110M then

HNW client RAUM$87.5M as of Mar 17, 2026

Mar 8, 2024$64.4M then

State-registered IARs (5.B.3)2 as of Mar 17, 2026

Mar 8, 20241 then

Employees (5.A)3 as of Mar 17, 2026

Mar 8, 20243 then

Private funds: no history

RAUM +23% over the last fiscal yearIARs 1 to 2

Practice profile

derived from the filing of Mar 17, 2026; every figure names its basis

Archetypes

The rule behind each archetype, and every derived figure3 rulesShow

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, and at most 25 employees (Item 5.A)

RAUM per advisor: $76.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 102derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $1.9MderivedHNW RAUM over HNW clients
Average account: $256,811derivedRAUM over accounts (5.F.2.f)
Discretionary: 99%derivedof RAUM
Institutional: 2.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.5derivedItem 5.A over advisors
Advisors per office: 2.0derived1 office incl. principal (1.F.5)
RAUM growth, one year: +23%derivedbetween the last two annual amendments
Advisor growth, one year: +100%derivedItem 5.B.3 between annual amendments
Client growth, one year: +5.2%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 consulting, selection of other advisersreportedItem 5.G
Custody: $66.5M, 204 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)
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)
marketing includes hypothetical performance (5.L.3)

Where the RAUM sits

Form ADV Item 5.D, latest filing

57% high-net-worth individuals, 40% individuals, and 3 other client types

The breakdown by client type, and the client counts5 client typesShow

High-net-worth individuals$87.5M57%
Individuals$60.9M40%
Pension and profit-sharing plans$3.8M2.5%
Charitable organizations$461,7140.3%
Corporations and businesses$425,9700.3%

Individual clients: 159reported
HNW clients: 45reported
Pension plan clients: 2reported
Charitable clients: 1reported
Accounts: 596reported
Financial planning clients: 51-100reported
Wrap fee programs: noreported
Custody of client assets: $66.5M for 204 clientsreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: RAUM: 97% private clients, 0% pooled funds, 3% institutions; no related broker-dealer; no related bank; 100% of advisors also broker-dealer representativesderived

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

B••••• G•••• M•••••• from A••••••••• F•••••••• S•••••••• L••
Feb 2, 2023 · Affiliated broker-dealer or bank to a newly registered adviser

Every departure Every arrival

Advisors registered through the firm

2 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry	Prior firms
B••••• G•••• M••••••	Huntington Beach, Ca	Feb 2, 2023	24 y	1
C•••••• O••••• M••••	Huntington Beach, Ca	Apr 28, 2025	10 y	0

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

M••••••• B•••••• G•••• · Managing Member & Chief Compliance Officercontrol
since 02/2023 · owns 75% or more

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
Huntington Beach, Ca · principal	2	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 538 to 596
Sep 30, 2025 to Mar 17, 2026
Advisory employees · 1 to 2
Sep 30, 2025 to Mar 17, 2026
Corporate clients · 1 to 2
Sep 30, 2025 to Mar 17, 2026
HNW clients · 36 to 45
Sep 30, 2025 to Mar 17, 2026
Individual clients · 158 to 159
Sep 30, 2025 to Mar 17, 2026

Full history · 51 changes

Assets in custody · $55.7M to $66.5M
Sep 30, 2025 to Mar 17, 2026
State-registered IARs · 1 to 2
Sep 30, 2025 to Mar 17, 2026
Discretionary RAUM · $123M to $152M
Sep 30, 2025 to Mar 17, 2026
HNW RAUM · $63.1M to $87.5M
Sep 30, 2025 to Mar 17, 2026
Individual RAUM · $56.9M to $60.9M
Sep 30, 2025 to Mar 17, 2026
Non-discretionary RAUM · $1.2M to $1.4M
Sep 30, 2025 to Mar 17, 2026
Pension RAUM · $3.1M to $3.8M
Sep 30, 2025 to Mar 17, 2026
RAUM · $124M to $153M
Sep 30, 2025 to Mar 17, 2026
Accounts · 519 to 538
Mar 8, 2024 to Mar 14, 2025
Corporate clients · unset to 1.0
Mar 8, 2024 to Mar 14, 2025
Individual clients · 157 to 158
Mar 8, 2024 to Mar 14, 2025
Pension plan clients · unset to 2.0
Mar 8, 2024 to Mar 14, 2025
Assets in custody · $44.0M to $55.7M
Mar 8, 2024 to Mar 14, 2025
Financial planning clients · 51-100 to 51-100
Mar 8, 2024 to Mar 14, 2025
Discretionary RAUM · $106M to $123M
Mar 8, 2024 to Mar 14, 2025
HNW RAUM · $64.4M to $63.1M
Mar 8, 2024 to Mar 14, 2025
Individual RAUM · $45.4M to $56.9M
Mar 8, 2024 to Mar 14, 2025
Non-discretionary RAUM · $4.4M to $1.2M
Mar 8, 2024 to Mar 14, 2025
Pension RAUM · unset to 3099454.0
Mar 8, 2024 to Mar 14, 2025
RAUM · $110M to $124M
Mar 8, 2024 to Mar 14, 2025
Accounts · 522 to 519
Sep 26, 2023 to Mar 8, 2024
HNW clients · 41 to 36
Sep 26, 2023 to Mar 8, 2024
Individual clients · 144 to 157
Sep 26, 2023 to Mar 8, 2024
Pension plan clients · 6.0 to unset
Sep 26, 2023 to Mar 8, 2024
Assets in custody · $85.8M to $44.0M
Sep 26, 2023 to Mar 8, 2024
Financial planning clients · 0 to 51-100
Sep 26, 2023 to Mar 8, 2024
Discretionary RAUM · $98.1M to $106M
Sep 26, 2023 to Mar 8, 2024
HNW RAUM · $57.0M to $64.4M
Sep 26, 2023 to Mar 8, 2024
Individual RAUM · $38.2M to $45.4M
Sep 26, 2023 to Mar 8, 2024
Pension RAUM · 7200000.0 to unset
Sep 26, 2023 to Mar 8, 2024
RAUM · $103M to $110M
Sep 26, 2023 to Mar 8, 2024
Assets in custody · $158 to $85.8M
May 15, 2023 to Sep 26, 2023
Accounts · 0 to 522
Feb 2, 2023 to May 15, 2023
Charity clients · unset to 1.0
Feb 2, 2023 to May 15, 2023
HNW clients · unset to 41.0
Feb 2, 2023 to May 15, 2023
Individual clients · unset to 144.0
Feb 2, 2023 to May 15, 2023
Pension plan clients · unset to 6.0
Feb 2, 2023 to May 15, 2023
Assets in custody · unset to 158.0
Feb 2, 2023 to May 15, 2023
Custody of client assets · false to true
Feb 2, 2023 to May 15, 2023
Discretionary RAUM · $0 to $98.1M
Feb 2, 2023 to May 15, 2023
HNW RAUM · unset to 57003000.0
Feb 2, 2023 to May 15, 2023
Individual RAUM · unset to 38194335.0
Feb 2, 2023 to May 15, 2023
Non-discretionary RAUM · $0 to $4.4M
Feb 2, 2023 to May 15, 2023
Pension RAUM · unset to 7200000.0
Feb 2, 2023 to May 15, 2023
RAUM · $0 to $103M
Feb 2, 2023 to May 15, 2023
Business name · T•• F•••••••• to S••••••••• W••••• M••••••••• S••••••••
Jan 3, 2023 to Feb 2, 2023

Signals

1 dated events

••• Locked
Jan 3, 2023 · 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: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Website: ••• Lockedreportedpublic record, Form ADV, Mar 17, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 17, 2026
Contact form: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Team page: ••• 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: $76.5Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026