DFX Intelligence

E•• P•••••••• M••••••••• 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 adviserstate registeredstate registeredRAUM under $100M

E•• P•••••••• M••••••••• L••

CRD 145698

WESTLAKE VILLAGE, 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:04719fb3-4126-f109-0517-fd5d7fa8c5a6

Data as of Apr 29, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:45 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Apr 29, 2026 to Apr 29, 2026
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: state registeredderivedon the IAPD state feed, not SEC-registered
Regulatory AUM: $16.4M••• Locked
Discretionary RAUM: $16.4M
Private client RAUM: $15.8Mderived••• Locked
Private client share: 96%derivedprivate client RAUM over total RAUM
Employees: 1
Advisory employees: 1

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
D•••• S••• K•••••••	n/a	WESTLAKE VILLAGE, CA	0	29	3	no

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
1	0	1	n/a	0	0	0	1	0

Relationships

Registered with (2)

← D•••• S••• K•••••••Advisorregistration: current employment
Oct 13, 2025 to presentfactForm ADV
← C•••••• C••••••••• D••••••Advisorregistration: previous registration
Jan 7, 2010 to Jul 26, 2010factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:04719fb3-4126-f109-0517-fd5d7fa8c5a6
First observed: Apr 29, 2026
Last observed: Apr 29, 2026 4 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.