DFX Intelligence

RIA Intelligence

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SEC-registered adviser

H•••••••• L••

No RAUM reportedIrvine, CaliforniaCRD 343069SEC 801-137111website IAPD

Latest filing Sep 3, 2026

First filing on the tape Aug 11, 2026 · 2 filings

SEC status 120-day approval since Aug 26, 2026

RAUM

n/a

reported, Item 5.F

Discretionary

n/a

of RAUM

Private clients

n/a

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

11 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

2 filings and snapshots on the tape

RAUM: $0

HNW client RAUM: no history

State-registered IARs (5.B.3)11 as of Sep 3, 2026

Aug 11, 202611 then

Employees (5.A)11 as of Sep 3, 2026

Aug 11, 202611 then

Private funds: no history

Practice profile

derived from the filing of Sep 3, 2026; every figure names its basis

RAUM per advisor: unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor: unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client: unknownderivedHNW RAUM over HNW clients
Average account: unknownderivedRAUM over accounts (5.F.2.f)
Discretionary: unknownderivedof RAUM
Institutional: unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 3.7derivedItem 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: portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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

This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: n/areported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUMreported
Class basis: private_client_share=0.0 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

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

L•••• S•••••••• F••••••• · Managing Membercontrol
since 04/2026 · owns 25% to 50%
M••••••••• J••••••• A•• · Managing Member & Chief Compliance Officercontrol
since 04/2026 · owns 25% to 50%
T•••••••• M•••• W•••••• · Managing Membercontrol
since 04/2026 · 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	3	3	0
Palm Desert, Ca	3	3	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 0.0 to unset
Aug 11, 2026 to Sep 3, 2026
Financial planning clients · to unset
Aug 11, 2026 to Sep 3, 2026
Discretionary RAUM · 0.0 to unset
Aug 11, 2026 to Sep 3, 2026
Non-discretionary RAUM · 0.0 to unset
Aug 11, 2026 to Sep 3, 2026
RAUM · 0.0 to unset
Aug 11, 2026 to Sep 3, 2026
Succession · false to unset
Aug 11, 2026 to Sep 3, 2026

Signals

3 dated events

Jessica Ann Mcconnell, registered through C•••••• C• G••••• L•• (Irvine, CA), is a direct owner of H•••••••• L••, an adviser first registered 2026-08-11
Aug 11, 2026 · Owner of a newly registered adviser · fact
Shattuck Franklin Lamm, registered through K••••••• P•••••• W••••• (Panama City Beach, FL), is a direct owner of H•••••••• L••, an adviser first registered 2026-08-11; in 2023-2025, 164 of 330 such owners registered at this class of firm moved to the new adviser within a year, median 92 days after the filing
Aug 11, 2026 · Owner of a newly registered adviser · fact
Mark William Thatcher, registered through K••••••• P•••••• W••••• (Palm Desert, CA), is a direct owner of H•••••••• L••, an adviser first registered 2026-08-11; in 2023-2025, 164 of 330 such owners registered at this class of firm moved to the new adviser within a year, median 92 days after the filing
Aug 11, 2026 · Owner of a newly registered adviser · 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

Website: h••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
Principal office phone: (760) 818 7035reportedpublic record, Form ADV, Sep 3, 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: No RAUM reportedderiveda rule over Items 5.D and 7.A
RAUM per advisor: n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026