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
M•••••• H•••• F•••••••• A••••••• L••
Latest filing Mar 12, 2026
First filing on the tape Oct 5, 2023 · 9 filings
SEC status approved since Nov 9, 2023
RAUM
$274M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$274M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$91.4M
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$274M as of Mar 12, 2026
May 29, 2024$157M then
HNW client RAUM$211M as of Mar 12, 2026
May 29, 2024$84.9M then
State-registered IARs (5.B.3)3 as of Mar 12, 2026
May 29, 20243 then
Employees (5.A)6 as of Mar 12, 2026
May 29, 20243 then
Private funds: no history
RAUM +31% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Mar 12, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $91.4MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 100derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $314,726derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +31%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -10%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
- Custody
- $39.0M, 73 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Firms absorbed, 24 months
- 1derivedhalf or more of a firm's advisors moved here within 14 days
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$211M77%
- Individuals$62.6M23%
- Corporations and businesses$188,5460.1%
- Individual clients
- 192reported
- HNW clients
- 109reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 871reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $39.0M for 73 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••• F•••••• H•••Certified Financial Planner | San Diego, Ca | Oct 12, 2023 | 16 y | 1 |
| M••• H••••• H•••Certified Financial Planner | San Diego, Ca | Oct 12, 2023 | 43 y | 3 |
| J•••• J••••• S•••• | San Diego, Ca | Oct 12, 2023 | 21 y | 1 |
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 headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from M•••••• H•••• F••••••••Jan 9, 2025 · San Diego, Ca · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••• M•••• H••••• · Member/Ccocontrolsince 09/2023 · owns 25% to 50%
- H•••• M••••• F•••••• · Membercontrolsince 09/2023 · owns 25% to 50%
- S••••• J••••• J••••• · Membercontrolsince 09/2023 · owns 25% to 50%
Related persons
Schedule D 7.A
- W••• L•••• P••••••••• L••investment companyn
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| San Diego, Ca · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Mar 12, 2026custody of client assets (Item 9.A): no on the filing of 2025-07-07, yes on the filing of 2026-03-12peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 717 to 871Jul 7, 2025 to Mar 12, 2026
- Advisory employees · 3 to 4Jul 7, 2025 to Mar 12, 2026
- Advisory activities · 4 to 3Jul 7, 2025 to Mar 12, 2026
- BD registered reps · 1 to 0Jul 7, 2025 to Mar 12, 2026
- HNW clients · 98 to 109Jul 7, 2025 to Mar 12, 2026
- Individual clients · 237 to 192Jul 7, 2025 to Mar 12, 2026
- Assets in custody · unset to 39011599.0Jul 7, 2025 to Mar 12, 2026
- Custody of client assets · false to trueJul 7, 2025 to Mar 12, 2026
- Employees · 3 to 6Jul 7, 2025 to Mar 12, 2026
- Discretionary RAUM · $209M to $274MJul 7, 2025 to Mar 12, 2026
- HNW RAUM · $142M to $211MJul 7, 2025 to Mar 12, 2026
- Individual RAUM · $67.1M to $62.6MJul 7, 2025 to Mar 12, 2026
- RAUM · $209M to $274MJul 7, 2025 to Mar 12, 2026
- Financial planning clients · 0 to 0Mar 31, 2025 to Jul 7, 2025
- Accounts · 646 to 717Sep 30, 2024 to Mar 31, 2025
- Advisory activities · 3 to 4Sep 30, 2024 to Mar 31, 2025
- HNW clients · 69 to 98Sep 30, 2024 to Mar 31, 2025
- Individual clients · 239 to 237Sep 30, 2024 to Mar 31, 2025
- Discretionary RAUM · $157M to $209MSep 30, 2024 to Mar 31, 2025
- HNW RAUM · $84.9M to $142MSep 30, 2024 to Mar 31, 2025
- Individual RAUM · $72.5M to $67.1MSep 30, 2024 to Mar 31, 2025
- RAUM · $157M to $209MSep 30, 2024 to Mar 31, 2025
- Accounts · 0 to 646Feb 26, 2024 to Mar 7, 2024
- HNW clients · unset to 69.0Feb 26, 2024 to Mar 7, 2024
- Individual clients · unset to 239.0Feb 26, 2024 to Mar 7, 2024
- Discretionary RAUM · $0 to $157MFeb 26, 2024 to Mar 7, 2024
- HNW RAUM · unset to 84929529.0Feb 26, 2024 to Mar 7, 2024
- Individual RAUM · unset to 72542981.0Feb 26, 2024 to Mar 7, 2024
- RAUM · $0 to $157MFeb 26, 2024 to Mar 7, 2024
- Financial planning clients · unset to 0Oct 5, 2023 to Oct 6, 2023
Signals
2 dated events
- M•••••• H•••• F••••••••'s advisors moved to M•••••• H•••• F•••••••• A••••••• L•• (San Diego, CA): 3 of 3 registered, on the same dayJan 9, 2025 · Firm absorbed (people side) · derived
- M•••••• H•••• F•••••••• A••••••• L•• filed its initial SEC registration (Form ADV)Oct 5, 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
- i•••@m•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 619-294-9420reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- m•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 619-294-9420reportedpublic record, Form ADV, Mar 12, 2026
- Team page
- m•••••••••.comreportedpublished 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
- $91.4Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026