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
T•••• T•••• P••• L••
Latest filing Mar 19, 2026
First filing on the tape Nov 18, 2024 · 6 filings
SEC status approved since Dec 18, 2024
RAUM
$298M
reported, Item 5.F
Discretionary
51%
of RAUM
Private clients
33%
$98.4M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$298M
derived; firm RAUM over IAPD count
Employees
1
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$298M as of Mar 19, 2026
Feb 18, 2025$182M then
HNW client RAUM$95.9M as of Mar 19, 2026
Feb 18, 2025$60.7M then
State-registered IARs (5.B.3)1 as of Mar 19, 2026
Feb 18, 20251 then
Employees (5.A)1 as of Mar 19, 2026
Feb 18, 20251 then
Private funds: no history
RAUM +56% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 19, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $298MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 141derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $819,926derivedHNW RAUM over HNW clients
- Average account
- $1.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 51%derivedof RAUM
- Institutional
- 1.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +56%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +37%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 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
- Corporations and businesses$197M66%
- High-net-worth individuals$95.9M32%
- Pension and profit-sharing plans$3.3M1.1%
- Individuals$2.5M0.8%
- Charitable organizations$137,0470.0%
- Individual clients
- 24reported
- HNW clients
- 117reported
- Pension plan clients
- 1reported
- Charitable clients
- 1reported
- Accounts
- 161reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.33 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•• H••••••• M••• | Pasadena, Ca | Jan 1, 2026 | 23 y | 6 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- M•• H••••••• M••• from W•••••• I••••••••• S•••••••••Jan 1, 2026 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••• M••• H••••••• · Managing Member And Chief Compliance Officercontrolsince 08/2023 · 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.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Mar 19, 2026portfolio management for pooled vehicles (Item 5.G.4): no on the filing of 2025-07-17, yes on the filing of 2026-03-19peers: independent wealth managers, $100M to $500M (5,676)
- RAUM up 50 %Change between filings · filing Mar 19, 2026RAUM (Item 5.F) moved from $191,023,358 to $298,313,852 (+56.0%) between the annual amendments of 2025-03-10 and 2026-03-19; the peer median change was +15.0% (4550 comparable advisers, 96.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 96% percentile
What changed
consecutive filings, newest first
- Accounts · 128 to 161Jul 17, 2025 to Mar 19, 2026
- Advisory activities · 2 to 3Jul 17, 2025 to Mar 19, 2026
- Charity clients · 0 to 1Jul 17, 2025 to Mar 19, 2026
- Corporate clients · 10 to 18Jul 17, 2025 to Mar 19, 2026
- HNW clients · 91 to 117Jul 17, 2025 to Mar 19, 2026
- Individual clients · 12 to 24Jul 17, 2025 to Mar 19, 2026
- Discretionary RAUM · $76.7M to $152MJul 17, 2025 to Mar 19, 2026
- HNW RAUM · $62.8M to $95.9MJul 17, 2025 to Mar 19, 2026
- Individual RAUM · $1.3M to $2.5MJul 17, 2025 to Mar 19, 2026
- Non-discretionary RAUM · $114M to $146MJul 17, 2025 to Mar 19, 2026
- Pension RAUM · $2.4M to $3.3MJul 17, 2025 to Mar 19, 2026
- RAUM · $191M to $298MJul 17, 2025 to Mar 19, 2026
- Financial planning clients · unset to Mar 10, 2025 to Jul 17, 2025
- Accounts · 122 to 128Feb 18, 2025 to Mar 10, 2025
- Corporate clients · 9 to 10Feb 18, 2025 to Mar 10, 2025
- HNW clients · 88 to 91Feb 18, 2025 to Mar 10, 2025
- Individual clients · 11 to 12Feb 18, 2025 to Mar 10, 2025
- Pension plan clients · 0 to 1Feb 18, 2025 to Mar 10, 2025
- Discretionary RAUM · $78.9M to $76.7MFeb 18, 2025 to Mar 10, 2025
- HNW RAUM · $60.7M to $62.8MFeb 18, 2025 to Mar 10, 2025
- Individual RAUM · $1.3M to $1.3MFeb 18, 2025 to Mar 10, 2025
- Non-discretionary RAUM · $103M to $114MFeb 18, 2025 to Mar 10, 2025
- Pension RAUM · $0 to $2.4MFeb 18, 2025 to Mar 10, 2025
- RAUM · $182M to $191MFeb 18, 2025 to Mar 10, 2025
Signals
2 dated events
- T•••• T•••• P••• L•• reported RAUM $298.3M, up 56% from $191.0M (2025-07-17 to 2026-03-19)Mar 19, 2026 · RAUM change · derived
- T•••• T•••• P••• L•• filed its initial SEC registration (Form ADV)Nov 18, 2024 · 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
- Website
- t•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (626) 234-8999reportedpublic record, Form ADV, Mar 19, 2026
- Contact form
- t•••••••••.comreportedpublished 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $298Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026