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I••••••••• W••••• S•••••••

Independent wealth managerSEC-registered· Brea, Californiawebsite

Independent wealth manager, based in Brea, California, reporting $116M of regulatory assets across 2 registered advisors.

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

Regulatory AUM
$116M
Form ADV
Advisors
2
IAPD
Net advisor flow, 12 months
+2 (2 in, 0 out)
IAPD registration history
Private clients
91% of RAUM, $105M
Form ADV
Advisors (2)Advisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. No dated change on record yet.

Every filed figure, and the identifiersCRD 332607 · SEC 801-136804 · 1 filingsShow
CRD 332607SEC 801-136804Legal name I••••••••• W••••• S•••••••• L••First filing on the tape Aug 10, 2026, latest Aug 10, 2026SEC status approved since Aug 6, 2026IAPD
RAUM
$116M
reported, Item 5.F
Discretionary
79%
of RAUM
Private clients
91%
$105M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$57.8M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
1 filings and snapshots on the tape
RAUM: $116M
HNW client RAUM: $48.7M
State-registered IARs (5.B.3): 2
Employees (5.A): 3
Private funds: no history
Practice profile
derived from the filing of Aug 10, 2026; every figure names its basis
Archetypes
The rule behind each archetype, and every derived figure1 rulesShow
  • 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
$38.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
48derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.3MderivedHNW RAUM over HNW clients
Average account
$181,773derivedRAUM over accounts (5.F.2.f)
Discretionary
79%derivedof RAUM
Institutional
7.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$56.0M48%
  • High-net-worth individuals$48.7M42%
  • Pension and profit-sharing plans$4.7M4.0%
  • Charitable organizations$3.9M3.4%
  • Corporations and businesses$2.3M2.0%
Individual clients
107reported
HNW clients
38reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
636reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
private_client_share=0.91 fund_share=0.0 institutional_share=0.07 related_bd=false related_bank=false bd_reps=0.0derived
Advisor movement
0 left, 2 joined in 12 months
net +2 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
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Advisors registered through the firm
      3 on IAPD today; the 10 longest tenured
      NameBranchHere sinceIn industryPrior firms
      W••• A••• C••••Certified Financial PlannerBrea, CaAug 25, 202413 y2
      R••• R••••• E•••••Brea, CaMar 27, 202647 y1
      D•••• S•••••• K•••••Brea, Ca Sep 21, 202622 y1
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • E•••••• R•••• R••••• · Coo & Ccocontrol
        since 02/2024 · 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
      OfficeAdvisorsJoinedLeftTeams outForming
      Brea, Ca · principal320
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      One filing, no change to show.
      Signals
      2 dated events
      • ••• Locked
        Sep 21, 2026 · Advisor registered · fact
      • ••• Locked
        Nov 16, 2024 · Team lift-out · derived
      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
      ••• Lockedreportedpublic record, Form ADV, Aug 10, 2026
      Principal office phone
      ••• Lockedreportedpublic record, Form ADV, Aug 10, 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

      Not yet on record: RAUM change, last fiscal year.