DFX Intelligence

I••••••••• F•••••••• A••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

I••••••••• F•••••••• A••••••• L••

CRD 109404

RIVERSIDE, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:009871e1-a55d-d476-a9b6-3e88630d129b

Data as of Apr 11, 2012 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:50 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Feb 22, 2012 to Apr 11, 2012
6 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $78.4M••• Locked
Discretionary RAUM: $69.3M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 266
SEC number

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••••• R•••••• M•	Member	C	yes	01/2006	Feb 22, 2012	Apr 11, 2012
P•••••• R••••••• D••••••	Member	C	yes	01/2006	Feb 22, 2012	Apr 11, 2012

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
E••• A••••••• L••	n/a	n/a	n/a	N	yes	n/a
R••••••••• A•• B•••••• I•••	n/a	n/a	n/a	Y	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Feb 22, 2012	$78.4M	$69.3M	n/a	n/a	n/a	n/a	n/a

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2011	$78.4M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Controls (4)

← V•••••••• J••••• R••••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Feb 22, 2012 to presentfactForm ADV
← R•••••• J••••• D••••OwnerMEMBER, ownership code C, individual
Feb 22, 2012 to presentfactForm ADV
← P•••••• R••••••• D••••••OwnerMEMBER, ownership code C, individual
Feb 22, 2012 to presentfactForm ADV
← B•••••• R•••••• M•OwnerMEMBER, ownership code C, individual
Feb 22, 2012 to presentfact

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:009871e1-a55d-d476-a9b6-3e88630d129b
First observed: Feb 22, 2012
Last observed: Apr 11, 2012 175 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.