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H••••••• G•••• W••••• M••••••••• L••

Independent wealth managerSEC-registeredwebsite

Independent wealth manager, reporting $88.8M of regulatory assets across 1 registered advisors.

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

Regulatory AUM
$88.8M
Form ADV
Advisors
1
IAPD
Net advisor flow, 12 months
0 (0 in, 0 out)
IAPD registration history
RAUM change, last fiscal year
Not established
Private clients
100% of RAUM, $88.8M
Form ADV
Advisors (1)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 336771 · SEC 801-133024 · 2 filingsShow
CRD 336771SEC 801-133024First filing on the tape Jun 26, 2025, latest Mar 25, 2026SEC status approved since Jun 24, 2025IAPD
RAUM
$88.8M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$88.8M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$88.8M
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$88.8M as of Mar 25, 2026
Jun 26, 2025$110M then
HNW client RAUM$88.8M as of Mar 25, 2026
Jun 26, 2025$110M then
State-registered IARs (5.B.3)1 as of Mar 25, 2026
Jun 26, 20251 then
Employees (5.A)1 as of Mar 25, 2026
Jun 26, 20251 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 25, 2026; every figure names its basis
Archetypes, each a printed rule
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
RAUM per advisor
$88.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
44derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.0MderivedHNW RAUM over HNW clients
Average account
$1.7MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 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 consulting, selection of other advisers, educational seminarsreportedItem 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
  • is an insurance broker or agent (6.A.6)
  • 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
  • High-net-worth individuals$88.8M100%
Individual clients
0reported
HNW clients
44reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
51reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
L••• C• M••••Danville, CaJul 1, 202518 y3
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
    • M••••• L•••• C• · Managing Member, Chief Compliance Officercontrol
      since 04/2025 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 89 to 51
      Jun 26, 2025 to Mar 25, 2026
    • Charity clients · unset to 0.0
      Jun 26, 2025 to Mar 25, 2026
    • Corporate clients · unset to 0.0
      Jun 26, 2025 to Mar 25, 2026
    • HNW clients · 78 to 44
      Jun 26, 2025 to Mar 25, 2026
    • Individual clients · unset to 0.0
      Jun 26, 2025 to Mar 25, 2026
    • Pension plan clients · unset to 0.0
      Jun 26, 2025 to Mar 25, 2026
    • Pooled vehicle clients · unset to 0.0
      Jun 26, 2025 to Mar 25, 2026
    • Discretionary RAUM · $110M to $88.8M
      Jun 26, 2025 to Mar 25, 2026
    • HNW RAUM · $110M to $88.8M
      Jun 26, 2025 to Mar 25, 2026
    • RAUM · $110M to $88.8M
      Jun 26, 2025 to Mar 25, 2026
    Signals
    No event on the tape.
    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
    ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
    Website
    ••• Lockedreportedpublic record, Form ADV, Mar 25, 2026
    Principal office phone
    ••• Lockedreportedpublic record, Form ADV, Mar 25, 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
    $88.8Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026