DFX Intelligence

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B•••• F•••••••• S•••••••• I•••

Independent wealth managerSEC-registered· Newport Beach, Californiawebsite

Independent wealth manager, based in Newport Beach, California, reporting $167M of regulatory assets across 4 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-03-27 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $167M
Advisors: 4
Net advisor flow, 12 months: 0
RAUM change, 1 year: +19%
Private clients: 97%

See where advisers went See teams that moved

Advisors (4)Where the RAUM sits

As of 2026-03-27 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 27 Mar 2026, RAUM $140M to $167M (+19.2%) on the Form ADV filed 27 Mar 2026, while advisors on the filing held at 2.

Every filed figure, and the identifiersCRD 331868 · SEC 801-130578 · 13 filingsShow

CRD 331868SEC 801-130578First filing on the tape May 30, 2024, latest Mar 27, 2026SEC status approved since Jun 28, 2024IAPD

RAUM

$167M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

97%

$163M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$41.8M

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

13 filings and snapshots on the tape

RAUM +19% over the last fiscal year · the tape starts May 30, 2024

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$167M as of Mar 27, 2026

Jan 16, 2025$140M then

HNW client RAUM$129M as of Mar 27, 2026

Jan 16, 2025$59.4M then

State-registered IARs (5.B.3)2 as of Mar 27, 2026

Jan 16, 20252 then

Employees (5.A)7 as of Mar 27, 2026

Jan 16, 20255 then

Private funds: no history

RAUM +19% over the last fiscal yearIARs 2 to 2

Practice profile

derived from the filing of Mar 27, 2026; every figure names its basis

Archetypes

The rule behind each archetype, and every derived figure2 rulesShow

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: $41.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 57derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $2.0MderivedHNW RAUM over HNW clients
Average account: $321,238derivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 2.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 1.8derivedItem 5.A over advisors
Advisors per office: 4.0derived1 office incl. principal (1.F.5)
RAUM growth, one year: +19%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: -22%derived
Compensation: percentage of assetsreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
Custody: $103M, 206 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

is an insurance broker or agent (6.A.6)
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)
an independent public accountant performs a surprise examination (9.C.1)

Where the RAUM sits

Form ADV Item 5.D, latest filing

77% high-net-worth individuals, 20% individuals, and 3 other client types

The breakdown by client type, and the client counts5 client typesShow

High-net-worth individuals$129M77%
Individuals$33.4M20%
Pension and profit-sharing plans$3.7M2.2%
Corporations and businesses$441,0080.3%
Charitable organizations$224,3290.1%

Individual clients: 160reported
HNW clients: 66reported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 520reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: $103M for 206 clientsreported
Compensation: % of AUMreported
Class basis: RAUM: 97% private clients, 0% pooled funds, 2% institutions; no related broker-dealer; no related bankderived

Advisor movement

0 left over 36 months

0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount

Left, latest

none on the tape

Joined, latest

M••• H•••• B•••• from L•• F•••••••• L••
Sep 10, 2024 · Affiliated broker-dealer or bank to a newly registered adviser
J•••• R•••••• J••••• from L•• F•••••••• L••
Sep 10, 2024 · Affiliated broker-dealer or bank to a newly registered adviser

Every departure Every arrival

Advisors registered through the firm

4 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry	Prior firms
J•••• R•••••• J•••••Certified Financial Planner	Newport Beach, Ca	Sep 10, 2024	12 y	1
M••• H•••• B••••	Newport Beach, Ca	Sep 10, 2024	32 y	1
M••••• T••••• B••••	Newport Beach, Ca	Apr 4, 2026	10 y	0
J••• M••••••••	Newport Beach, Ca	Jun 12, 2026	10 y	0

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

B••••• M•••• H•••• · Owner & Presidentcontrol
since 05/2024 · owns 75% or more
M••••••••• J•••• D••••• · Chief Compliance Officercontrol
since 05/2024 · owns less than 5%

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
Newport Beach, Ca · principal	4	2	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

ADV anomalies

3 against comparable advisers; where to look, not conclusions

clients down average size upCombination · filing Mar 27, 2026
private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $140,118,530 to $167,043,756, advisors 2 to 2, private clients 290 to 226, offices 0 to 0 (2025-01-16 to 2026-03-27)
peers: independent wealth managers, $100M to $500M (5,683)
business activity changedChange between filings · filing Mar 27, 2026
selection of other advisers (Item 5.G.7): no on the filing of 2025-06-10, yes on the filing of 2026-03-27
peers: independent wealth managers, $100M to $500M (5,683)
HNW share shiftChange between filings · filing Mar 27, 2026
HNW share of RAUM moved from 42.0% to 77.0% between the annual amendments of 2025-01-16 and 2026-03-27
peers: independent wealth managers, $100M to $500M (5,683)

How anomalies are measured

What changed

consecutive filings, newest first

Accounts · 565 to 520
Jun 10, 2025 to Mar 27, 2026
Corporate clients · 1.0 to unset
Jun 10, 2025 to Mar 27, 2026
HNW clients · 29 to 66
Jun 10, 2025 to Mar 27, 2026
Individual clients · 285 to 160
Jun 10, 2025 to Mar 27, 2026
Assets in custody · $109M to $103M
Jun 10, 2025 to Mar 27, 2026

Full history · 43 changes

Employees · 5 to 7
Jun 10, 2025 to Mar 27, 2026
Discretionary RAUM · $145M to $167M
Jun 10, 2025 to Mar 27, 2026
HNW RAUM · $64.2M to $129M
Jun 10, 2025 to Mar 27, 2026
Individual RAUM · $77.4M to $33.4M
Jun 10, 2025 to Mar 27, 2026
Pension RAUM · $2.7M to $3.7M
Jun 10, 2025 to Mar 27, 2026
RAUM · $145M to $167M
Jun 10, 2025 to Mar 27, 2026
Accounts · 551 to 565
Jan 16, 2025 to Jun 10, 2025
Advisory activities · 3 to 5
Jan 16, 2025 to Jun 10, 2025
Charity clients · 2.0 to unset
Jan 16, 2025 to Jun 10, 2025
Individual clients · 261 to 285
Jan 16, 2025 to Jun 10, 2025
Pension plan clients · 3.0 to unset
Jan 16, 2025 to Jun 10, 2025
Assets in custody · unset to 108932525.0
Jan 16, 2025 to Jun 10, 2025
Custody of client assets · false to true
Jan 16, 2025 to Jun 10, 2025
Financial planning clients · 0 to 0
Jan 16, 2025 to Jun 10, 2025
Discretionary RAUM · $140M to $145M
Jan 16, 2025 to Jun 10, 2025
HNW RAUM · $59.4M to $64.2M
Jan 16, 2025 to Jun 10, 2025
Individual RAUM · $77.7M to $77.4M
Jan 16, 2025 to Jun 10, 2025
Pension RAUM · $2.7M to $2.7M
Jan 16, 2025 to Jun 10, 2025
RAUM · $140M to $145M
Jan 16, 2025 to Jun 10, 2025
Accounts · 280 to 551
Nov 4, 2024 to Jan 16, 2025
BD registered reps · 2 to 0
Nov 4, 2024 to Jan 16, 2025
Charity clients · 0 to 2
Nov 4, 2024 to Jan 16, 2025
HNW clients · 27 to 29
Nov 4, 2024 to Jan 16, 2025
Individual clients · 250 to 261
Nov 4, 2024 to Jan 16, 2025
Pension plan clients · 0 to 3
Nov 4, 2024 to Jan 16, 2025
Discretionary RAUM · $116M to $140M
Nov 4, 2024 to Jan 16, 2025
HNW RAUM · $59.8M to $59.4M
Nov 4, 2024 to Jan 16, 2025
Individual RAUM · $56.4M to $77.7M
Nov 4, 2024 to Jan 16, 2025
Pension RAUM · $0 to $2.7M
Nov 4, 2024 to Jan 16, 2025
RAUM · $116M to $140M
Nov 4, 2024 to Jan 16, 2025
Accounts · 0 to 280
Oct 16, 2024 to Oct 22, 2024
Corporate clients · 0 to 1
Oct 16, 2024 to Oct 22, 2024
HNW clients · 0 to 27
Oct 16, 2024 to Oct 22, 2024
Individual clients · 0 to 250
Oct 16, 2024 to Oct 22, 2024
Discretionary RAUM · $0 to $116M
Oct 16, 2024 to Oct 22, 2024
HNW RAUM · $0 to $59.8M
Oct 16, 2024 to Oct 22, 2024
Individual RAUM · $0 to $56.4M
Oct 16, 2024 to Oct 22, 2024
RAUM · $0 to $116M
Oct 16, 2024 to Oct 22, 2024

Signals

1 dated events

••• Locked
May 30, 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

Business email: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Business phone: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Website: ••• Lockedreportedpublic record, Form ADV, Mar 27, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Mar 27, 2026
Contact form: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026
Team page: ••• Lockedreportedpublished by the firm, firm site, Sep 16, 2026

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: $41.8Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026