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•••• W••••• S•••••••• L••
Latest filing Mar 30, 2026
First filing on the tape May 28, 2024 · 5 filings
SEC status approved since Jun 27, 2024
RAUM
$186M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
93%
$174M individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$26.6M
derived; firm RAUM over IAPD count
Employees
6
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$186M as of Mar 30, 2026
Jan 22, 2025$101M then
HNW client RAUM$167M as of Mar 30, 2026
Jan 22, 2025$96.3M then
State-registered IARs (5.B.3)6 as of Mar 30, 2026
Jan 22, 20252 then
Employees (5.A)6 as of Mar 30, 2026
Jan 22, 20253 then
Private funds: no history
RAUM +53% over the last fiscal yearIARs 2 to 6
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
- RAUM per advisor
- $26.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 21derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $536,253derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 6.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.9derivedItem 5.A over advisors
- Advisors per office
- 7.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +53%derivedbetween the last two annual amendments
- Advisor growth, one year
- +200%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -4.5%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Custody
- $186M, 161 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
- 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$167M90%
- Pension and profit-sharing plans$11.4M6.1%
- Individuals$6.1M3.3%
- Charitable organizations$1.1M0.6%
- Corporations and businesses$44,8520.0%
- Individual clients
- 47reported
- HNW clients
- 103reported
- Pension plan clients
- 8reported
- Charitable clients
- 1reported
- Accounts
- 347reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $186M for 161 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.93 fund_share=0.0 institutional_share=0.07 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• M•••••• F•••• | Westlake Village, Ca | Sep 3, 2024 | 12 y | 1 |
| B•••••• M• B•••••Certified Financial Planner | Westlake Village, Ca | Sep 3, 2024 | 15 y | 3 |
| D•••• T•••• | Westlake Village, Ca | Nov 25, 2024 | 14 y | 5 |
| J••••• J••••• M••••• | Westlake Village, Ca | Apr 8, 2025 | 13 y | 2 |
| K•••• G••• | Westlake Village, Ca | Sep 8, 2025 | 14 y | 1 |
| N••••••• G••••••••• | Westlake Village, Ca | Feb 27, 2026 | 13 y | 1 |
| I••• T•••••• | Westlake Village, Ca | Jul 24, 2026 | 9 y | 0 |
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
- N••••••• G••••••••• from A••••••••• F•••••••• S•••••••• L••Feb 27, 2026 · Affiliated broker-dealer or bank to independent RIA
- K•••• G••• from J••• M••••• S••••••••• L••Sep 8, 2025 · Wirehouse to independent RIA
- J••••• J••••• M••••• from C•••••••• G••••• M•••••• I•••Apr 8, 2025 · Affiliated broker-dealer or bank to independent RIA
- D•••• T•••• from M•••••• I•••••••••Nov 25, 2024 · RIA to RIA
- B•••••• M• B••••• from M•••••• I•••••••••Sep 3, 2024 · RIA to a newly registered adviser
- J•••• M•••••• F•••• from M•••••• I•••••••••Sep 3, 2024 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from M•••••• I•••••••••Sep 5, 2024 · Westlake Village, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• B••••••• M• · Principal & Chief Compliance Officercontrolsince 05/2024 · owns 75% or more
Related persons
Schedule D 7.A
- T•••• W••••• G••••insurancen
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Westlake Village, Ca · principal | 7 | 2 | 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 clients flatCombination · filing Mar 30, 2026RAUM grew 50 percent or more while private clients stayed within 5 percent: existing clients grew, a few large clients arrived, or a reporting change. RAUM $121,228,920 to $186,079,681, advisors 2 to 6, private clients 157 to 150, offices 0 to 0 (2025-03-25 to 2026-03-30)peers: WEALTH_I•••••••••, $100M to $500M (5,676)
- RAUM up 50 %Change between filings · filing Mar 30, 2026RAUM (Item 5.F) moved from $121,228,920 to $186,079,681 (+53.0%) between the annual amendments of 2025-03-25 and 2026-03-30; the peer median change was +15.0% (4550 comparable advisers, 96.0th percentile of changes)peers: WEALTH_I•••••••••, $100M to $500M (4,550) · 96% percentile
What changed
consecutive filings, newest first
- Accounts · 247 to 347Mar 25, 2025 to Mar 30, 2026
- Advisory employees · 2 to 6Mar 25, 2025 to Mar 30, 2026
- Charity clients · unset to 1.0Mar 25, 2025 to Mar 30, 2026
- Corporate clients · unset to 3.0Mar 25, 2025 to Mar 30, 2026
- HNW clients · 144 to 103Mar 25, 2025 to Mar 30, 2026
- Individual clients · 13 to 47Mar 25, 2025 to Mar 30, 2026
- Pension plan clients · unset to 8.0Mar 25, 2025 to Mar 30, 2026
- Assets in custody · $13.1M to $186MMar 25, 2025 to Mar 30, 2026
- Employees · 3 to 6Mar 25, 2025 to Mar 30, 2026
- State-registered IARs · 2 to 6Mar 25, 2025 to Mar 30, 2026
- Discretionary RAUM · $121M to $186MMar 25, 2025 to Mar 30, 2026
- HNW RAUM · $115M to $167MMar 25, 2025 to Mar 30, 2026
- Individual RAUM · $5.5M to $6.1MMar 25, 2025 to Mar 30, 2026
- Pension RAUM · unset to 11350312.0Mar 25, 2025 to Mar 30, 2026
- RAUM · $121M to $186MMar 25, 2025 to Mar 30, 2026
- Accounts · 223 to 247Jan 22, 2025 to Mar 25, 2025
- Charity clients · 1.0 to unsetJan 22, 2025 to Mar 25, 2025
- HNW clients · 139 to 144Jan 22, 2025 to Mar 25, 2025
- Individual clients · 14 to 13Jan 22, 2025 to Mar 25, 2025
- Assets in custody · $2.7M to $13.1MJan 22, 2025 to Mar 25, 2025
- Financial planning clients · 0 to 101-250Jan 22, 2025 to Mar 25, 2025
- Discretionary RAUM · $101M to $121MJan 22, 2025 to Mar 25, 2025
- HNW RAUM · $96.3M to $115MJan 22, 2025 to Mar 25, 2025
- Individual RAUM · $4.5M to $5.5MJan 22, 2025 to Mar 25, 2025
- RAUM · $101M to $121MJan 22, 2025 to Mar 25, 2025
- Accounts · 0 to 223May 28, 2024 to Oct 9, 2024
- Advisory employees · 1 to 2May 28, 2024 to Oct 9, 2024
- Charity clients · unset to 1.0May 28, 2024 to Oct 9, 2024
- HNW clients · unset to 139.0May 28, 2024 to Oct 9, 2024
- Individual clients · unset to 14.0May 28, 2024 to Oct 9, 2024
- Assets in custody · $0 to $2.7MMay 28, 2024 to Oct 9, 2024
- Employees · 1 to 3May 28, 2024 to Oct 9, 2024
- Insurance-licensed employees · 1 to 0May 28, 2024 to Oct 9, 2024
- State-registered IARs · 1 to 2May 28, 2024 to Oct 9, 2024
- Discretionary RAUM · $0 to $101MMay 28, 2024 to Oct 9, 2024
- HNW RAUM · unset to 96288472.0May 28, 2024 to Oct 9, 2024
- Individual RAUM · unset to 4518787.0May 28, 2024 to Oct 9, 2024
- RAUM · $0 to $101MMay 28, 2024 to Oct 9, 2024
Signals
2 dated events
- 3 advisors left M•••••• I••••••••• (Westlake Village, CA) for T•••• W••••• S•••••••• L•• on the same daySep 5, 2024 · Team lift-out · derived
- T•••• W••••• S•••••••• L•• filed its initial SEC registration (Form ADV)May 28, 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
- Firm profile
- linkedin.com/company/total-wealth-servicesreportedpublic record, Form ADV, Sep 18, 2026
- Website
- t•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 818-309-3071reportedpublic record, Form ADV, Mar 30, 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
- $26.6Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026