DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

A•••••••• C•••••• M••••••••• L••

CRD 155863

LOS ANGELES, CA

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Search this name across graphsid dfx:ria:00aef27d-9a2f-506f-fc54-14de92509926

Data as of Nov 10, 2011 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 5:46 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 0
On other graphs: 0
Observed: Nov 10, 2011 to Nov 10, 2011
1 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: $170M••• Locked
Discretionary RAUM: $170M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 75
SEC number

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••••••• S•••••• M•••	President	B	yes	06/2011	Nov 10, 2011	Nov 10, 2011
G•••••••• H•••••• R••	MANAGING MEMBER, CEO, CHIEF INVESTMENT OFFICER	C	yes	04/2006	Nov 10, 2011	Nov 10, 2011

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
R••• C••••• • B••••••• L••	n/a	Other adviser	$44B	Y	yes	n/a
W••• G••• H••••••• A•••••••• L••	n/a	Asset manager	$3.4B	Y	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Irvine	CA	United States	n/a	no

Relationships

Affiliated with (2)

→ A•••••••• C•••••• M••••••••• L••Registered adviserother investment adviser, control, common control
factForm ADV
→ F••• A••••• M••••••• N•••• A•••••• L••Registered adviserother investment adviser, control, common control
factForm ADV

Controls (6)

← B•••••••• S•••••• M•••OwnerPRESIDENT, ownership code B, individual
Nov 10, 2011 to presentfactForm ADV
← G•••••••• H•••••• R••Owner

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:00aef27d-9a2f-506f-fc54-14de92509926
First observed: Nov 10, 2011
Last observed: Nov 10, 2011 181 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.