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
I•••••• W••••• M••••••••• I•••
Latest filing Jun 15, 2026
First filing on the tape Apr 11, 2025 · 5 filings
SEC status approved since Apr 4, 2025
RAUM
$174M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$174M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$58.0M
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$174M as of Jun 15, 2026
Apr 11, 2025$109M then
HNW client RAUM$80.0M as of Jun 15, 2026
Apr 11, 2025$70.6M then
State-registered IARs (5.B.3)3 as of Jun 15, 2026
Apr 11, 20253 then
Employees (5.A)3 as of Jun 15, 2026
Apr 11, 20253 then
Private funds: no history
RAUM +59% over the last fiscal yearIARs 3 to 3offices 0 to 1
Practice profile
derived from the filing of Jun 15, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- RAUM per advisor
- $58.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 206derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.3MderivedHNW RAUM over HNW clients
- Average account
- $281,503derivedRAUM 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
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +59%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +15%derived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$94.0M54%
- High-net-worth individuals$80.0M46%
- Individual clients
- 603reported
- HNW clients
- 15reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 618reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- 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
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T•••• M••••• | Cypress, Ca | Feb 6, 2025 | 12 y | 0 |
| A•••• R•••• M••••• P•••••••• | Cypress, Ca | Mar 13, 2025 | 10 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- A•••• R••• to L•• F•••••••• L••Oct 18, 2024 · RIA to affiliated broker-dealer or bank
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- I••••••• T•••••• M••• · Managing Member/Investment Advisor Representative/Chief Compliance Officercontrolsince 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 |
|---|---|---|---|---|---|
| Cypress, Ca · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Apr 14, 2026RAUM (Item 5.F) moved from $109,202,638 to $173,968,647 (+59.0%) between the annual amendments of 2025-04-11 and 2026-04-14; the peer median change was +15.0% (4550 comparable advisers, 97.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 97% percentile
- HNW share shiftChange between filings · filing Apr 14, 2026HNW share of RAUM moved from 65.0% to 46.0% between the annual amendments of 2025-04-11 and 2026-04-14peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Other offices · 0 to 1Apr 14, 2026 to Jun 15, 2026
- Accounts · 657 to 618Feb 26, 2026 to Apr 14, 2026
- HNW clients · 33 to 15Feb 26, 2026 to Apr 14, 2026
- Individual clients · 624 to 603Feb 26, 2026 to Apr 14, 2026
- Discretionary RAUM · $155M to $174MFeb 26, 2026 to Apr 14, 2026
- HNW RAUM · $62.5M to $80.0MFeb 26, 2026 to Apr 14, 2026
- Individual RAUM · $92.1M to $94.0MFeb 26, 2026 to Apr 14, 2026
- RAUM · $155M to $174MFeb 26, 2026 to Apr 14, 2026
- Accounts · 617 to 657Nov 24, 2025 to Feb 26, 2026
- HNW clients · 15 to 33Nov 24, 2025 to Feb 26, 2026
- Individual clients · 602 to 624Nov 24, 2025 to Feb 26, 2026
- Financial planning clients · 51-100 to 251-500Nov 24, 2025 to Feb 26, 2026
- Discretionary RAUM · $141M to $155MNov 24, 2025 to Feb 26, 2026
- HNW RAUM · $75.0M to $62.5MNov 24, 2025 to Feb 26, 2026
- Individual RAUM · $66.4M to $92.1MNov 24, 2025 to Feb 26, 2026
- RAUM · $141M to $155MNov 24, 2025 to Feb 26, 2026
- Accounts · 500 to 617Apr 11, 2025 to Nov 24, 2025
- HNW clients · 36 to 15Apr 11, 2025 to Nov 24, 2025
- Individual clients · 500 to 602Apr 11, 2025 to Nov 24, 2025
- Discretionary RAUM · $109M to $141MApr 11, 2025 to Nov 24, 2025
- HNW RAUM · $70.6M to $75.0MApr 11, 2025 to Nov 24, 2025
- Individual RAUM · $38.6M to $66.4MApr 11, 2025 to Nov 24, 2025
- RAUM · $109M to $141MApr 11, 2025 to Nov 24, 2025
Signals
1 dated events
- A•••• R••• left I•••••• W••••• M••••••••• I••• for L•• F•••••••• L•• (registered 2025-08-08)Oct 18, 2024 · Advisor changed firm · 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 phone
- 714-553-1490reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- ivanoffinsights.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 714-262-1658reportedpublic record, Form ADV, Jun 15, 2026
- Contact form
- ivanoffwealthmanagement.com/contactreportedpublished by the firm, firm site, Sep 16, 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
- $58.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026