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W••••••••• L••

Former SEC-registered adviserFormer SEC adviser· San Diego, Californiawebsite

Former SEC-registered adviser, based in San Diego, California, reporting $13.2M of regulatory assets across 2 registered advisors.

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

Last reported RAUM
$13.2M
Form ADV
Advisors
2
IAPD
Net advisor flow, 12 months
0 (0 in, 0 out)
IAPD registration history
RAUM change, last fiscal year
Not applicable
Private clients
100% of RAUM, $13.2M
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
Why this matters
Every filed figure, and the identifiersCRD 334809 · SEC 801-132281 · 2 filingsShow
CRD 334809SEC 801-132281First filing on the tape Mar 28, 2025, latest May 30, 2025SEC status 120-day approval since Mar 28, 2025IAPD
RAUM
$13.2M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$13.2M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$6.6M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$13.2M as of May 30, 2025
Mar 28, 2025$0 then
HNW client RAUM: $9.4M
State-registered IARs (5.B.3)1 as of May 30, 2025
Mar 28, 20251 then
Employees (5.A)1 as of May 30, 2025
Mar 28, 20251 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of May 30, 2025; every figure names its basis
RAUM per advisor
$6.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
12derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$673,991derivedHNW RAUM over HNW clients
Average account
$216,892derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
0.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 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 individuals, portfolio management for businesses and institutionsreportedItem 5.G
Custody
$7.7M, 21 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$9.4M71%
  • Individuals$3.8M29%
Individual clients
10reported
HNW clients
14reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
61reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$7.7M for 21 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
D••••• S•••• B••••Certified Financial PlannerSan Diego, CaApr 1, 202529 y3
C••••• M•••••• L•••••San Diego, CaJul 15, 202611 y0
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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    No Schedule A on the extract for this adviser.
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    San Diego, Ca · principal210
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 0 to 61
      Mar 28, 2025 to May 30, 2025
    • BD registered reps · 1 to 0
      Mar 28, 2025 to May 30, 2025
    • HNW clients · unset to 14.0
      Mar 28, 2025 to May 30, 2025
    • Individual clients · unset to 10.0
      Mar 28, 2025 to May 30, 2025
    • Assets in custody · unset to 7655155.0
      Mar 28, 2025 to May 30, 2025
    • Custody of client assets · false to true
      Mar 28, 2025 to May 30, 2025
    • Discretionary RAUM · $0 to $13.2M
      Mar 28, 2025 to May 30, 2025
    • HNW RAUM · unset to 9435867.0
      Mar 28, 2025 to May 30, 2025
    • Individual RAUM · unset to 3794516.0
      Mar 28, 2025 to May 30, 2025
    • RAUM · $0 to $13.2M
      Mar 28, 2025 to May 30, 2025
    Signals
    1 dated events
    • ••• Locked
      Aug 1, 2025 · Left the SEC roster · 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, Jul 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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    $6.6Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 15, 2026