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T••••••• G•••• I•••••••••: registered adviser on the ria / wealth management graph | DFX Data Factory

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

T••••••• G•••• I•••••••••

CRD 106076

MALIBU, CA

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Search this name across graphsid dfx:ria:00b6a960-9632-28a5-61b7-7a5210bab86d

Data as of Mar 7, 2018 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:06 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Mar 27, 2012 to Mar 7, 2018
9 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: $132MItem 5.F on the latest filing (2018-03-07); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $129M
Private client RAUM: $130MderivedItem 5.D individuals plus high net worth individuals
Private client share: 98%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••••••• D••••• R••••••	PRESIDENT/CEO, SECRETARY, CFO, CHIEF COMPLIANCE OFFICER, CHAIRMAN OF THE BOARD	D	yes	03/2008	Mar 27, 2012	Mar 7, 2018
T•••••••• T•••••• B••••	VICE PRESIDENT, DIRECTOR OF BUSINESS DEVELOPMENT	D	yes	10/2015

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2017	$132M	$114M	16.4%	$132M	0.1%	3	3	0	n/a

Relationships

Controls (2)

← B••••••••• D••••• R••••••OwnerPRESIDENT/CEO, SECRETARY, CFO, CHIEF COMPLIANCE OFFICER, CHAIRMAN OF THE BOARD, ownership code D, individual
Mar 27, 2012 to presentfactForm ADV
← T•••••••• T•••••• B••••OwnerVICE PRESIDENT, DIRECTOR OF BUSINESS DEVELOPMENT, ownership code D, individual
Mar 27, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:00b6a960-9632-28a5-61b7-7a5210bab86d
First observed: Mar 27, 2012
Last observed: Mar 7, 2018 104 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.