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L•••• T•••• I••••••••• L••

Independent wealth managerSEC-registered· Lafayette, Californiawebsite

Independent wealth manager, based in Lafayette, California, reporting $435,000 of regulatory assets.

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

Regulatory AUM
$435,000
Advisors
0
Private clients
100%
of RAUM, $435,000
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 323061 · SEC 801-126660 · 6 filingsShow
CRD 323061SEC 801-126660First filing on the tape Aug 30, 2022, latest Mar 6, 2026SEC status approved since Oct 24, 2022IAPD
RAUM
$435,000
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$435,000 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
Not computed
derived; firm RAUM over IAPD count
Employees
4
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

RAUM +20% a year over three years · the tape starts Aug 30, 2022

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$435,000 as of Mar 6, 2026
Mar 29, 2023$250,000 then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 6, 2026
Mar 29, 20231 then
Employees (5.A)4 as of Mar 6, 2026
Mar 29, 20235 then
Private funds: no history
RAUM n/a over the last fiscal year+20% a year over three
Practice profile
derived from the filing of Mar 6, 2026; every figure names its basis
Archetypes
The rule behind each archetype, and every derived figure1 ruleShow
  • 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
$435,000derivedRAUM over IAPD advisors; not a book size
Clients per advisor
12derivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$36,250derivedRAUM 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
4.0derivedItem 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, publicationsreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
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$435,000100%
Individual clients
12reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
12reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
      • T••••• N•••••••• G••••••• · Ceo And Chief Compliance Officercontrol
        since 04/2015 · owns less than 5%
      • T••••• N•••••••• G••••••• · Elected Ceocontrol
        since 06/2014 · owns 75% or more of A••••••••• S••••••• L••
      • P•••••• W••••••• J•• · Head Of Marketing And Strategy
        since 03/2015 · owns less than 5%
      Entity owners
      • A••••••••• S••••••• L•• · Direct Owner
        direct · 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
      • Accounts · 3 to 12
        Mar 20, 2024 to Mar 6, 2026
      • Individual clients · 0 to 12
        Mar 20, 2024 to Mar 6, 2026
      • Financial planning clients · 1-10 to 1-10
        Mar 20, 2024 to Mar 6, 2026
      • Individual RAUM · $297,000 to $435,000
        Mar 20, 2024 to Mar 6, 2026
      • Non-discretionary RAUM · $297,000 to $435,000
        Mar 20, 2024 to Mar 6, 2026
      Full history · 17 changes
      • RAUM · $297,000 to $435,000
        Mar 20, 2024 to Mar 6, 2026
      • Accounts · 2 to 3
        Mar 29, 2023 to Mar 20, 2024
      • Advisory activities · 2 to 3
        Mar 29, 2023 to Mar 20, 2024
      • Employees · 5 to 4
        Mar 29, 2023 to Mar 20, 2024
      • Individual RAUM · $250,000 to $297,000
        Mar 29, 2023 to Mar 20, 2024
      • Non-discretionary RAUM · $250,000 to $297,000
        Mar 29, 2023 to Mar 20, 2024
      • RAUM · $250,000 to $297,000
        Mar 29, 2023 to Mar 20, 2024
      • Accounts · 0 to 2
        Oct 18, 2022 to Mar 29, 2023
      • Financial planning clients · 0 to 1-10
        Oct 18, 2022 to Mar 29, 2023
      • Individual RAUM · unset to 250000.0
        Oct 18, 2022 to Mar 29, 2023
      • Non-discretionary RAUM · $0 to $250,000
        Oct 18, 2022 to Mar 29, 2023
      • RAUM · $0 to $250,000
        Oct 18, 2022 to Mar 29, 2023
      Signals
      1 dated events
      • ••• Locked
        Aug 30, 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 email
      ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
      Business phone
      ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
      Website
      ••• Lockedreportedpublic record, Form ADV, Mar 6, 2026
      Principal office phone
      ••• Lockedreportedpublic record, Form ADV, Mar 6, 2026
      Contact form
      ••• Lockedreportedpublished by the firm, firm site, Sep 17, 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, RAUM change, 1 year.