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•••• A••• W••••• M••••••••• L••
Latest filing Aug 31, 2026
First filing on the tape Nov 7, 2024 · 8 filings
SEC status approved since Jan 8, 2025
RAUM
$662M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$652M individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$166M
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$662M as of Aug 31, 2026
Jan 9, 2025$0 then
HNW client RAUM$601M as of Aug 31, 2026
May 23, 2025$445M then
State-registered IARs (5.B.3)3 as of Aug 31, 2026
Jan 9, 20252 then
Employees (5.A)5 as of Aug 31, 2026
Jan 9, 20252 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 2 to 3
Practice profile
derived from the filing of Aug 31, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- $166MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 64derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.1MderivedHNW RAUM over HNW clients
- Average account
- $801,985derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $167M, 84 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
- 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)
- marketing includes testimonials (5.L.1.c)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$601M91%
- Individuals$50.6M7.6%
- Pension and profit-sharing plans$8.5M1.3%
- Charitable organizations$2.2M0.3%
- Corporations and businesses$50,2650.0%
- Individual clients
- 138reported
- HNW clients
- 118reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 826reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $167M for 84 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
4 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| B•••• R••• V••••••Certified Financial Planner | Irvine, Ca | Jan 8, 2025 | 21 y | 2 |
| S•••• D•••• A•••• | Irvine, Ca | Jan 9, 2025 | 10 y | 2 |
| T•••• R•••••• V••••••Certified Financial Planner | Irvine, Ca | Aug 6, 2025 | 10 y | 1 |
| S•••• Y•••• C••••••• | Irvine, Ca | Apr 27, 2026 | 21 y | 0 |
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 headcount1 left over 36 months
Left, latest
- R•••• H• D•••• to N•••••• A•••••••• L••Jul 8, 2025 · RIA to affiliated broker-dealer or bank
Joined, latest
- T•••• R•••••• V•••••• from I•••• F••• A•••••••• I•••Aug 6, 2025 · RIA to RIA
- S•••• D•••• A•••• from I•••• F••• A•••••••• I•••Jan 9, 2025 · RIA to a newly registered adviser
- B•••• R••• V•••••• from I•••• F••• A•••••••• I•••Jan 8, 2025 · RIA to a newly registered adviser
- R•••• H• D•••• from J•• F••••••••• L••Jan 8, 2025 · RIA to a newly registered adviser
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from I•••• F••• A•••••••• I•••Jan 10, 2025 · Irvine, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- V••••••• B••••• R• · Managing Member And Co-Foundercontrolsince 10/2024 · owns 50% to 75%
- V••••••• T•••• · Managing Member, Co-Founder, And Chief Compliance Officercontrolsince 10/2024 · owns 25% to 50%
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 |
|---|---|---|---|---|---|
| Irvine, Ca · principal | 4 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory activities · 3 to 4Mar 23, 2026 to Apr 29, 2026
- Accounts · 734 to 826Jul 8, 2025 to Mar 23, 2026
- Advisory employees · 4 to 3Jul 8, 2025 to Mar 23, 2026
- HNW clients · 89 to 118Jul 8, 2025 to Mar 23, 2026
- Individual clients · 139 to 138Jul 8, 2025 to Mar 23, 2026
- Assets in custody · unset to 166811879.0Jul 8, 2025 to Mar 23, 2026
- Custody of client assets · false to trueJul 8, 2025 to Mar 23, 2026
- Financial planning clients · 0 to 26-50Jul 8, 2025 to Mar 23, 2026
- State-registered IARs · 4 to 3Jul 8, 2025 to Mar 23, 2026
- Discretionary RAUM · $503M to $662MJul 8, 2025 to Mar 23, 2026
- HNW RAUM · $445M to $601MJul 8, 2025 to Mar 23, 2026
- Individual RAUM · $51.1M to $50.6MJul 8, 2025 to Mar 23, 2026
- Pension RAUM · $6.5M to $8.5MJul 8, 2025 to Mar 23, 2026
- RAUM · $503M to $662MJul 8, 2025 to Mar 23, 2026
- Financial planning clients · 0 to 0May 23, 2025 to Jul 8, 2025
- Accounts · 0 to 734Jan 9, 2025 to May 23, 2025
- Advisory employees · 2 to 4Jan 9, 2025 to May 23, 2025
- HNW clients · unset to 89.0Jan 9, 2025 to May 23, 2025
- Individual clients · unset to 139.0Jan 9, 2025 to May 23, 2025
- Employees · 2 to 5Jan 9, 2025 to May 23, 2025
- State-registered IARs · 2 to 4Jan 9, 2025 to May 23, 2025
- Discretionary RAUM · $0 to $503MJan 9, 2025 to May 23, 2025
- HNW RAUM · unset to 445345590.0Jan 9, 2025 to May 23, 2025
- Individual RAUM · unset to 51127763.0Jan 9, 2025 to May 23, 2025
- Pension RAUM · unset to 6462355.0Jan 9, 2025 to May 23, 2025
- RAUM · $0 to $503MJan 9, 2025 to May 23, 2025
- Financial planning clients · unset to 0Nov 7, 2024 to Jan 9, 2025
Signals
4 dated events
- T•••• A••• W••••• M••••••••• L•• reported RAUM $662.4M, up 32% from $503.0M (2025-07-08 to 2026-03-23)Mar 23, 2026 · RAUM change · derived
- R•••• H• D•••• left T•••• A••• W••••• M••••••••• L•• for N•••••• A•••••••• L•• (registered 2026-02-17)Jul 8, 2025 · Advisor changed firm · fact
- 3 advisors left I•••• F••• A•••••••• I••• (Irvine, CA) for T•••• A••• W••••• M••••••••• L•• on the same dayJan 10, 2025 · Team lift-out · derived
- T•••• A••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Nov 7, 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
- i•••@t•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 949-400-7107reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/three-arch-wealth-managementreportedpublic record, Form ADV, Sep 18, 2026
- Website
- t•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (949) 400-7107reportedpublic record, Form ADV, Aug 31, 2026
- Contact form
- t•••••••••.comreportedpublished by the firm, firm site, Sep 17, 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
- $166Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026