DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

S••••••••• A•• C••••••• I•••

CRD 111453

SAN CLEMENTE, CA

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Search this name across graphsid dfx:ria:01921da9-f843-1907-d5f7-8d4131f71f49

Data as of Mar 17, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:38 AM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 2
On other graphs: 0
Observed: Jul 5, 2019 to Mar 17, 2026
20 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: independent wealth managerderivedprivate_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $447M••• Locked
Discretionary RAUM: $353M
Private client RAUM: $444Mderived••• Locked
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $149Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
R•••• S••• S•••••••••	Certified Financial Planner\|Chartered Financial Analyst	SAN CLEMENTE, CA	12	13	1	no
B•••••• S•••••••••	Certified Financial Planner	SAN CLEMENTE, CA	7	41

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••••• A•• T••••• A•• S••••••••• T•••• D•••• 7••••••	Shareholder	E	yes	01/2016	Jul 5, 2019	Dec 26, 2024
S••••••••• B••••••	Trustee	F	yes	07/1998	Jul 5, 2019	Dec 26, 2024

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	1	0

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$447M	$312M	43.4%	$216M	27.4%	5	4	1	0

Relationships

Registered with (3)

← C••••• C••••••••• Z••••Advisorregistration: current employment
Apr 21, 2025 to presentfactForm ADV
← B•••••• S•••••••••Advisorregistration: current employment
Aug 21, 2019 to presentfactForm ADV
← R•••• S••• S•••••••••Advisorregistration: current employment
May 22, 2014 to presentfactForm ADV

Owns (2)

Dated events

Occurred
Mar 17, 2026
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$135M
Occurred
Jul 5, 2019
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:01921da9-f843-1907-d5f7-8d4131f71f49
First observed: Jul 5, 2019
Last observed: Mar 17, 2026 6 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.