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.
SEC-registered adviser
Tidemark, LLC
Latest filing Jun 25, 2026
First filing on the tape Aug 21, 2023 · 12 filings
SEC status approved since Sep 20, 2023
RAUM
$463M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
98%
$452M individuals and HNW
Advisors
8
registered through the firm on IAPD
RAUM per advisor
$57.8M
derived; firm RAUM over IAPD count
Employees
12
8 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$463M as of Jun 25, 2026
Feb 14, 2024$250M then
HNW client RAUM$302M as of Jun 25, 2026
Feb 14, 2024$152M then
State-registered IARs (5.B.3)8 as of Jun 25, 2026
Feb 14, 20246 then
Employees (5.A)12 as of Jun 25, 2026
Feb 14, 20248 then
Private funds: no history
RAUM +34% over the last fiscal yearIARs 8 to 8offices 0 to 1
Practice profile
derived from the filing of Jun 25, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- RAUM per advisor
- $57.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 106derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.3MderivedHNW RAUM over HNW clients
- Average account
- $397,681derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 2.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 4.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +34%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -11%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, otherreportedItem 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
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$302M65%
- Individuals$150M32%
- Charitable organizations$5.5M1.2%
- Pension and profit-sharing plans$4.3M0.9%
- Corporations and businesses$957,8820.2%
- Individual clients
- 623reported
- HNW clients
- 226reported
- Pension plan clients
- 9reported
- Charitable clients
- 10reported
- Accounts
- 1,163reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Jared J Redfield | San Diego, Ca | Sep 26, 2023 | 10 y | 1 |
| Tyler James AbneyCertified Financial Planner | San Diego, Ca | Sep 26, 2023 | 20 y | 1 |
| Joshua Albert Stipcich | San Diego, Ca | Sep 26, 2023 | 20 y | 1 |
| Brad Norman Duerks | San Diego, Ca | Oct 2, 2023 | 25 y | 1 |
| Frank Joshua Alvarez | San Diego, Ca | Oct 2, 2023 | 11 y | 2 |
| Anthony Charles Mclean | San Diego, Ca | Oct 3, 2023 | 17 y | 2 |
| Giovanna P LeyvaCertified Financial Planner | San Diego, Ca | Oct 21, 2024 | 10 y | 0 |
| Adam Russell Mcmillian | Danbury, Nc | Jun 25, 2026 | 13 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- Adam Russell Mcmillian from Cannon Wealth Management ServicesJun 25, 2026 · RIA to RIA
- Anthony Charles Mclean from LPL Financial LLCOct 3, 2023 · Other
- Brad Norman Duerks from LPL Financial LLCOct 2, 2023 · Affiliated broker-dealer or bank to a newly registered adviser
- Frank Joshua Alvarez from LPL Financial LLCOct 2, 2023 · Affiliated broker-dealer or bank to a newly registered adviser
- Tyler James Abney from LPL Financial LLCSep 26, 2023 · Other
- Joshua Albert Stipcich from LPL Financial LLCSep 26, 2023 · Other
- Jared J Redfield from LPL Financial LLCSep 26, 2023 · Affiliated broker-dealer or bank to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from LPL Financial LLCApr 2, 2026 · Atascadero, Ca
- 3 joined from LPL Financial LLCDec 22, 2023 · San Diego, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- J Jessica Roeper · Chief Compliance Officercontrolsince 08/2023 · owns less than 5%
- James Tyler Abney · Member, Ceocontrolsince 06/2023 · owns 75% or more of Tidemark Financial, Inc.
- Albert Joshua Stipcich · Member, Coocontrolsince 06/2023 · owns 75% or more of Stip, Inc
Entity owners
- Stip, Inc · Memberdirect · owns 50% to 75%
- Tidemark Financial, Inc. · Memberdirect · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| San Diego, Ca · principal | 8 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Other offices · 0 to 1Apr 22, 2026 to Jun 25, 2026
- BD registered reps · 7 to 0Mar 9, 2026 to Apr 22, 2026
- Accounts · 1,567 to 1,163May 22, 2025 to Mar 9, 2026
- Charity clients · 6 to 10May 22, 2025 to Mar 9, 2026
- Corporate clients · 3 to 5May 22, 2025 to Mar 9, 2026
- HNW clients · 229 to 226May 22, 2025 to Mar 9, 2026
- Individual clients · 722 to 623May 22, 2025 to Mar 9, 2026
- Pension plan clients · 8 to 9May 22, 2025 to Mar 9, 2026
- Employees · 8 to 12May 22, 2025 to Mar 9, 2026
- Discretionary RAUM · $341M to $458MMay 22, 2025 to Mar 9, 2026
- HNW RAUM · $214M to $302MMay 22, 2025 to Mar 9, 2026
- Individual RAUM · $123M to $150MMay 22, 2025 to Mar 9, 2026
- Non-discretionary RAUM · $3.3M to $4.1MMay 22, 2025 to Mar 9, 2026
- Pension RAUM · $3.3M to $4.3MMay 22, 2025 to Mar 9, 2026
- RAUM · $345M to $463MMay 22, 2025 to Mar 9, 2026
- Financial planning clients · 11-25 to 11-25Mar 4, 2025 to May 22, 2025
- Accounts · 1,033 to 1,567May 7, 2024 to Mar 4, 2025
- Advisory employees · 6 to 8May 7, 2024 to Mar 4, 2025
- BD registered reps · 6 to 7May 7, 2024 to Mar 4, 2025
- Corporate clients · 4 to 3May 7, 2024 to Mar 4, 2025
- HNW clients · 179 to 229May 7, 2024 to Mar 4, 2025
- Individual clients · 488 to 722May 7, 2024 to Mar 4, 2025
- Pension plan clients · 7 to 8May 7, 2024 to Mar 4, 2025
- State-registered IARs · 6 to 8May 7, 2024 to Mar 4, 2025
- Discretionary RAUM · $250M to $341MMay 7, 2024 to Mar 4, 2025
- HNW RAUM · $152M to $214MMay 7, 2024 to Mar 4, 2025
- Individual RAUM · $90.4M to $123MMay 7, 2024 to Mar 4, 2025
- Non-discretionary RAUM · $0 to $3.3MMay 7, 2024 to Mar 4, 2025
- Pension RAUM · $3.3M to $3.3MMay 7, 2024 to Mar 4, 2025
- RAUM · $250M to $345MMay 7, 2024 to Mar 4, 2025
- Accounts · 812 to 1,033Oct 20, 2023 to Feb 14, 2024
- Charity clients · 1 to 6Oct 20, 2023 to Feb 14, 2024
- Corporate clients · 9 to 4Oct 20, 2023 to Feb 14, 2024
- HNW clients · 7 to 179Oct 20, 2023 to Feb 14, 2024
- Individual clients · 368 to 488Oct 20, 2023 to Feb 14, 2024
- Pension plan clients · unset to 7.0Oct 20, 2023 to Feb 14, 2024
- Discretionary RAUM · $193M to $250MOct 20, 2023 to Feb 14, 2024
- HNW RAUM · $1.3M to $152MOct 20, 2023 to Feb 14, 2024
- Individual RAUM · $186M to $90.4MOct 20, 2023 to Feb 14, 2024
- Pension RAUM · unset to 3295988.0Oct 20, 2023 to Feb 14, 2024
Signals
4 dated events
- 3 advisors left LPL Financial LLC (Atascadero, CA) for Tidemark, LLC on the same dayApr 2, 2026 · Team lift-out · derived
- Tidemark, Llc reported RAUM $462.5M, up 34% from $344.6M (2025-05-22 to 2026-03-09)Mar 9, 2026 · RAUM change · derived
- 3 advisors left LPL Financial LLC (San Diego, CA) for Tidemark, LLC on the same dayDec 22, 2023 · Team lift-out · derived
- Tidemark, Llc filed its initial SEC registration (Form ADV)Aug 21, 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
- brionna@tidemarkfp.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- lisa@tidemarkfp.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 805-466-2045reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 858-825-8000reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 858-925-8000reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/tidemarkfpreportedpublic record, Form ADV, Sep 17, 2026
- Website
- tidemarkfp.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 888-791-0197reportedpublic record, Form ADV, Jun 25, 2026
- Contact form
- tidemarkfp.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- tidemarkfp.com/teamreportedpublished by the firm, firm site, Sep 15, 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
- $57.8Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026