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•••••
Legal name T••••• W••••• L••
Latest filing Jun 18, 2026
First filing on the tape May 23, 2025 · 4 filings
SEC status approved since Jun 23, 2025
RAUM
$400M
reported, Item 5.F
Discretionary
89%
of RAUM
Private clients
100%
$400M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$133M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$400M as of Jun 18, 2026
May 23, 2025$0 then
HNW client RAUM$317M as of Jun 18, 2026
May 23, 2025$0 then
State-registered IARs (5.B.3)3 as of Jun 18, 2026
May 23, 20253 then
Employees (5.A)4 as of Jun 18, 2026
May 23, 20254 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 18, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $133MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 99derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $516,442derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 89%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 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 assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
- Wrap fee program
- $400MreportedItem 5.I
- Custody
- $51.2M, 104 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$317M79%
- Individuals$83.7M21%
- Individual clients
- 177reported
- HNW clients
- 119reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 775reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- $51.2M for 104 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| I••••• J••••••• B••••• P•••• | Mission Viejo, Ca | Sep 23, 2025 | 13 y | 1 |
| J••••• M•••••• M••••••••• | Mission Viejo, Ca | Sep 23, 2025 | 12 y | 1 |
| M•••••• J••••• M••••••••• | Mission Viejo, Ca | Sep 23, 2025 | 38 y | 2 |
Advisor movement
0 left, 3 joined in 12 months
net +3 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
- I••••• J••••••• B••••• P•••• from W•••• F•••• A•••••••Sep 23, 2025 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- M•••••• J••••• M••••••••• from W•••• F•••• A•••••••Sep 23, 2025 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- J••••• M•••••• M••••••••• from W•••• F•••• A•••••••Sep 23, 2025 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from W•••• F•••• A•••••••Sep 29, 2025 · Irvine, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• P••••• I•••••• J••••••• · Chief Compliance Officercontrolsince 03/2025 · owns less than 5%
- M••••••••• J•••••• M•••••• · Membercontrolsince 03/2025 · owns less than 5%
- M••••••••• M••••••• J••••• · Managing Membercontrolsince 03/2025 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Mission Viejo, Ca · principal | 3 | 3 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 772 to 775Oct 16, 2025 to Mar 10, 2026
- Corporate clients · unset to 0.0Oct 16, 2025 to Mar 10, 2026
- Assets in custody · $26.9M to $51.2MOct 16, 2025 to Mar 10, 2026
- Discretionary RAUM · $352M to $358MOct 16, 2025 to Mar 10, 2026
- HNW RAUM · $310M to $317MOct 16, 2025 to Mar 10, 2026
- Individual RAUM · $84.9M to $83.7MOct 16, 2025 to Mar 10, 2026
- Non-discretionary RAUM · $43.1M to $42.5MOct 16, 2025 to Mar 10, 2026
- RAUM · $395M to $400MOct 16, 2025 to Mar 10, 2026
- Accounts · 0 to 772May 23, 2025 to Oct 16, 2025
- BD registered reps · 3 to 0May 23, 2025 to Oct 16, 2025
- Corporate clients · 0.0 to unsetMay 23, 2025 to Oct 16, 2025
- HNW clients · 0 to 119May 23, 2025 to Oct 16, 2025
- Individual clients · 0 to 177May 23, 2025 to Oct 16, 2025
- Assets in custody · unset to 26868359.0May 23, 2025 to Oct 16, 2025
- Custody of client assets · false to trueMay 23, 2025 to Oct 16, 2025
- Insurance-licensed employees · 3 to 0May 23, 2025 to Oct 16, 2025
- Financial planning clients · 0 to 0May 23, 2025 to Oct 16, 2025
- Discretionary RAUM · $0 to $352MMay 23, 2025 to Oct 16, 2025
- HNW RAUM · $0 to $310MMay 23, 2025 to Oct 16, 2025
- Individual RAUM · $0 to $84.9MMay 23, 2025 to Oct 16, 2025
- Non-discretionary RAUM · $0 to $43.1MMay 23, 2025 to Oct 16, 2025
- RAUM · $0 to $395MMay 23, 2025 to Oct 16, 2025
Signals
1 dated events
- 3 advisors left W•••• F•••• A••••••• (Irvine, CA) for T••••• W••••• a day apartSep 29, 2025 · 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
- Business phone
- 949-427-8104reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/ticino-wealthreportedpublic record, Form ADV, Sep 19, 2026
- Website
- t•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 949-427-8104reportedpublic record, Form ADV, Jun 18, 2026
- Contact form
- t•••••••••.comreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- t•••••••••.comreportedpublished by the firm, firm site, Sep 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $133Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026