DFX Intelligence

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E••••••• W••••• A•••••••

Independent wealth managerSEC-registered· Temecula, Californiawebsite

Independent wealth manager, based in Temecula, California, reporting $123M of regulatory assets across 3 registered advisors.

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

As of 2026-03-12 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $123M
Advisors: 3
Net advisor flow, 12 months: 0
RAUM change, 1 year: +9.8%
Private clients: 100%

See where advisers went See teams that moved

Advisors (3)Where the RAUM sits

As of 2026-03-12 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 12 Mar 2026, RAUM $112M to $123M (+9.8%) on the Form ADV filed 12 Mar 2026, while advisors on the filing held at 3.

Every filed figure, and the identifiersCRD 323320 · SEC 801-127552 · 7 filingsShow

CRD 323320SEC 801-127552Legal name E••••••• W••••• A•••••••• L••First filing on the tape Feb 28, 2023, latest Mar 12, 2026SEC status approved since Mar 30, 2023IAPD

RAUM

$123M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$122M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$40.9M

derived; firm RAUM over IAPD count

Employees

3 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

7 filings and snapshots on the tape

RAUM +9.8% over the last fiscal year · the tape starts Feb 28, 2023

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

RAUM$123M as of Mar 12, 2026

Mar 26, 2024$103M then

HNW client RAUM$62.6M as of Mar 12, 2026

Mar 26, 2024$42.9M then

State-registered IARs (5.B.3)3 as of Mar 12, 2026

Mar 26, 20242 then

Employees (5.A)4 as of Mar 12, 2026

Mar 26, 20244 then

Private funds: no history

RAUM +9.8% over the last fiscal yearIARs 3 to 3

Practice profile

derived from the filing of Mar 12, 2026; every figure names its basis

Archetypes

The rule behind each archetype, and every derived figure2 rulesShow

HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
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: $40.9MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 75derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $1.9MderivedHNW RAUM over HNW clients
Average account: $272,282derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.3derivedItem 5.A over advisors
Advisors per office: 3.0derived1 office incl. principal (1.F.5)
RAUM growth, one year: +9.8%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: -0.9%derived
Compensation: percentage of assets, hourlyreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
Wrap fee program: $9.5MreportedItem 5.I
Custody: $117M, 229 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

51% high-net-worth individuals, 49% individuals, and 1 other client type

The breakdown by client type, and the client counts3 client typesShow

High-net-worth individuals$62.6M51%
Individuals$59.6M49%
Corporations and businesses$609,6200.5%

Individual clients: 192reported
HNW clients: 33reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 451reported
Financial planning clients: 1-10reported
Wrap fee programs: $4.7M sponsored, $4.7M managedreported
Custody of client assets: $117M for 229 clientsreported
Compensation: % of AUM, hourlyreported
Class basis: RAUM: 100% private clients, 0% pooled funds, 0% institutions; a related broker-dealer; no related bank; 200% 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

none on the tape

Every departure Every arrival

Advisors registered through the firm

3 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry
M••• R••••• T••••Certified Financial Planner	Temecula, Ca	Apr 3, 2023	13 y
M••• H••••••	Temecula, Ca	Apr 3, 2023	10 y
R•••• B•••••Certified Financial Planner	Temecula, Ca	Apr 3, 2023	33 y

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

B•••••• R••••• E• L• · Founder & Ceocontrol
since 03/2023 · owns 75% or more
T••••• M•••• R••••• · Chief Compliance Officercontrol
since 03/2023 · owns less than 5%

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
Temecula, Ca · principal	3	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 412 to 451
Mar 27, 2025 to Mar 12, 2026
HNW clients · 40 to 33
Mar 27, 2025 to Mar 12, 2026
Individual clients · 187 to 192
Mar 27, 2025 to Mar 12, 2026
Assets in custody · $92.1M to $117M
Mar 27, 2025 to Mar 12, 2026
Financial planning clients · 0 to 1-10
Mar 27, 2025 to Mar 12, 2026

Full history · 48 changes

Discretionary RAUM · $112M to $123M
Mar 27, 2025 to Mar 12, 2026
HNW RAUM · $57.1M to $62.6M
Mar 27, 2025 to Mar 12, 2026
Individual RAUM · $53.9M to $59.6M
Mar 27, 2025 to Mar 12, 2026
RAUM · $112M to $123M
Mar 27, 2025 to Mar 12, 2026
Wrap assets (manager) · $5.6M to $4.7M
Mar 27, 2025 to Mar 12, 2026
Wrap assets (sponsor) · $5.6M to $4.7M
Mar 27, 2025 to Mar 12, 2026
Accounts · 410 to 412
Mar 26, 2024 to Mar 27, 2025
Advisory employees · 2 to 3
Mar 26, 2024 to Mar 27, 2025
HNW clients · 25 to 40
Mar 26, 2024 to Mar 27, 2025
Individual clients · 255 to 187
Mar 26, 2024 to Mar 27, 2025
Assets in custody · $18.7M to $92.1M
Mar 26, 2024 to Mar 27, 2025
Financial planning clients · 0 to 0
Mar 26, 2024 to Mar 27, 2025
State-registered IARs · 2 to 3
Mar 26, 2024 to Mar 27, 2025
Discretionary RAUM · $103M to $112M
Mar 26, 2024 to Mar 27, 2025
HNW RAUM · $42.9M to $57.1M
Mar 26, 2024 to Mar 27, 2025
Individual RAUM · $58.6M to $53.9M
Mar 26, 2024 to Mar 27, 2025
RAUM · $103M to $112M
Mar 26, 2024 to Mar 27, 2025
Wrap assets (manager) · $5.3M to $5.6M
Mar 26, 2024 to Mar 27, 2025
Wrap assets (sponsor) · $5.3M to $5.6M
Mar 26, 2024 to Mar 27, 2025
Accounts · 397 to 410
Jun 30, 2023 to Mar 26, 2024
Corporate clients · 2 to 3
Jun 30, 2023 to Mar 26, 2024
HNW clients · 32 to 25
Jun 30, 2023 to Mar 26, 2024
Individual clients · 190 to 255
Jun 30, 2023 to Mar 26, 2024
Assets in custody · $70.2M to $18.7M
Jun 30, 2023 to Mar 26, 2024
Employees · 6 to 4
Jun 30, 2023 to Mar 26, 2024
Discretionary RAUM · $101M to $103M
Jun 30, 2023 to Mar 26, 2024
HNW RAUM · $51.9M to $42.9M
Jun 30, 2023 to Mar 26, 2024
Individual RAUM · $48.3M to $58.6M
Jun 30, 2023 to Mar 26, 2024
RAUM · $101M to $103M
Jun 30, 2023 to Mar 26, 2024
Wrap assets (manager) · $4.9M to $5.3M
Jun 30, 2023 to Mar 26, 2024
Wrap assets (sponsor) · $0 to $5.3M
Jun 30, 2023 to Mar 26, 2024
Accounts · 0 to 397
Mar 31, 2023 to Jun 30, 2023
Corporate clients · unset to 2.0
Mar 31, 2023 to Jun 30, 2023
HNW clients · unset to 32.0
Mar 31, 2023 to Jun 30, 2023
Individual clients · unset to 190.0
Mar 31, 2023 to Jun 30, 2023
Assets in custody · unset to 70200000.0
Mar 31, 2023 to Jun 30, 2023
Custody of client assets · false to true
Mar 31, 2023 to Jun 30, 2023
Discretionary RAUM · $0 to $101M
Mar 31, 2023 to Jun 30, 2023
HNW RAUM · unset to 51900000.0
Mar 31, 2023 to Jun 30, 2023
Individual RAUM · unset to 48300000.0
Mar 31, 2023 to Jun 30, 2023
RAUM · $0 to $101M
Mar 31, 2023 to Jun 30, 2023
Wrap assets (manager) · unset to 4900000.0
Mar 31, 2023 to Jun 30, 2023
Wrap assets (sponsor) · unset to 0.0
Mar 31, 2023 to Jun 30, 2023

Signals

1 dated events

••• Locked
Feb 28, 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
Business phone: ••• 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 12, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 12, 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: $40.9Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026