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
E••••• C••••••• L••
Latest filing Mar 30, 2026
First filing on the tape Sep 5, 2025 · 4 filings
SEC status approved since Sep 16, 2025
RAUM
$107M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$107M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$107M
derived; firm RAUM over IAPD count
Employees
2
1 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$107M as of Mar 30, 2026
Sep 5, 2025$0 then
HNW client RAUM$89.1M as of Mar 30, 2026
Feb 1, 2026$87.9M then
State-registered IARs (5.B.3)1 as of Mar 30, 2026
Sep 5, 20251 then
Employees (5.A)2 as of Mar 30, 2026
Sep 5, 20252 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 30, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $107MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 75derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.1MderivedHNW RAUM over HNW clients
- Average account
- $1.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 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
- portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 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)
- 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$89.1M83%
- Individuals$17.8M17%
- Individual clients
- 53reported
- HNW clients
- 22reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 75reported
- 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
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
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
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
Entity owners
- B••••••• · Owner Chief Compliance Officerdirect · 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 · 105 to 75Feb 1, 2026 to Mar 30, 2026
- HNW clients · 8 to 22Feb 1, 2026 to Mar 30, 2026
- Individual clients · unset to 53.0Feb 1, 2026 to Mar 30, 2026
- HQ city · to LAKE FORESTFeb 1, 2026 to Mar 30, 2026
- HQ state · to CAFeb 1, 2026 to Mar 30, 2026
- Discretionary RAUM · $104M to $107MFeb 1, 2026 to Mar 30, 2026
- HNW RAUM · $87.9M to $89.1MFeb 1, 2026 to Mar 30, 2026
- Individual RAUM · $0 to $17.8MFeb 1, 2026 to Mar 30, 2026
- Non-discretionary RAUM · $1.4M to $303,167Feb 1, 2026 to Mar 30, 2026
- RAUM · $105M to $107MFeb 1, 2026 to Mar 30, 2026
- Accounts · 0 to 105Dec 16, 2025 to Feb 1, 2026
- HNW clients · unset to 8.0Dec 16, 2025 to Feb 1, 2026
- Financial planning clients · to 0Dec 16, 2025 to Feb 1, 2026
- HQ city · SANTA ANA to Dec 16, 2025 to Feb 1, 2026
- HQ state · CA to Dec 16, 2025 to Feb 1, 2026
- Discretionary RAUM · $0 to $104MDec 16, 2025 to Feb 1, 2026
- HNW RAUM · unset to 87900981.0Dec 16, 2025 to Feb 1, 2026
- Individual RAUM · unset to 0.0Dec 16, 2025 to Feb 1, 2026
- Non-discretionary RAUM · $0 to $1.4MDec 16, 2025 to Feb 1, 2026
- RAUM · $0 to $105MDec 16, 2025 to Feb 1, 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
- Website
- e•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 949-341-4800reportedpublic record, Form ADV, Mar 30, 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
- $107Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026