DFX Intelligence
Data Factory
Reading the graph
Reading the graph
CRD 111041
FULLERTON, CA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| DAVID KIMBER LITTLE | Certified Financial Planner|Chartered Financial Analyst | FULLERTON, CA | 22 | 10 | n/a | no |
| CARL W.R. LACHMAN | Certified Financial Planner | FULLERTON, CA | 22 | 22 | n/a | no |
| RUSSELL WILLIAM HALL | Certified Financial Planner | FULLERTON, CA | 18 | 19 | n/a | no |
| DAVID KENNETH MACLEOD | Certified Financial Planner|Chartered Financial Analyst | FULLERTON, CA | 17 | 16 | n/a | no |
| AIMEE E. CALDERON | Certified Financial Planner | FULLERTON, CA | 10 | 24 | 1 | no |
| TRAVIS JOHN MCSHANE | Certified Financial Planner|Chartered Financial Analyst | FULLERTON, CA | 10 | 13 | n/a | no |
| James Ira Moore | Certified Financial Planner | Gunter, TX | FULLERTON, CA | 10 | 10 | n/a | no |
| Amber Michelle Shrosbree | Certified Financial Planner | FULLERTON, CA | 5 | 12 | n/a | no |
| Clarissa Linda Hartono | Certified Financial Planner | FULLERTON, CA | 2 | 12 | n/a | no |
| RUSSELL EUGENE MURDOCK | Chartered Financial Analyst | FULLERTON, CA | Huntington Beach, CA | 0 | 31 | 1 | no |
| Daniel Scott Nandor | Certified Financial Planner | FULLERTON, CA | 0 | 11 | n/a | no |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| BUCHHOLTZ, PATRICIA, | CHIEF COMPLIANCE OFFICER | Na | yes | 01/2016 | Aug 12, 2026 | Aug 12, 2026 |
| CAMP, CARL, JACKSON | DIRECTOR K. LITTLE AND JULIE A. LITTLE LIVING TRUST UAD | Na | yes | 06/1984 | Aug 12, 2026 | Aug 12, 2026 |
| LACHMAN, CARL, WESLEY | VICE PRESIDENT (SINCE 06/2016), TRUSTEE OF THE | B | yes | 01/2016 | Aug 12, 2026 | Aug 12, 2026 |
| MACLEOD, DAVID, KENNETH | CHIEF INVESTMENT OFFICER, SHAREHOLDER | A | yes | 07/2019 | Aug 12, 2026 | Aug 12, 2026 |
| Moore, James, Ira | Shareholder | Na | yes | 01/2024 | Aug 12, 2026 | Aug 12, 2026 |
| LITTLE, DAVID, KIMBER | PRESIDENT (SINCE 06/2016), TRUSTEE OF THE DAVID K. LITTLE AND JULIE A. LITTLE LIVING TRUST UAD 09/16/2008, CHAIRMAN, DIRECTOR | C | yes | 01/2024 | Dec 15, 2011 | Oct 23, 2024 |
| LITTLE, JULIE, ANN | TRUSTEE OF THE DAVID K. LITTLE AND JULIE A. LITTLE LIVING TRUST UAD 09/16/2008, DIRECTOR | C | yes | 11/2008 | Feb 18, 2015 | Oct 23, 2024 |
| ROJAS, SCOTT, ANDREW | VICE PRESIDENT | B | yes | 06/2016 | Jun 1, 2016 | Oct 23, 2024 |
| CALDERON, AIMEE, E. | TRUSTEE OF THE CALDERON FAMILY JOINT LIVING | Na | no | 01/2021 | Aug 12, 2026 | Aug 12, 2026 |
| CALDERON, ANDREW | TRUSTEE OF THE CALDERON FAMILY JOINT LIVING | Na | no | 01/2021 | Aug 12, 2026 | Aug 12, 2026 |
| Hall, Connie, Shek | TRUSTEE OF THE HALL LIVING TRUST 2015 DTD | Na | no | 01/2017 | Aug 12, 2026 | Aug 12, 2026 |
| HALL, RUSSELL, WILLIAM | TRUSTEE OF THE HALL LIVING TRUST 2015 DTD | Na | no | 01/2017 | Aug 12, 2026 | Aug 12, 2026 |
| LACHMAN, MARCIA, NASH | TRUSTEE OF THE LACHMAN FAMILY TRUST DATED | B | no | 01/2016 | Aug 12, 2026 | Aug 12, 2026 |
| MCSHANE, REBEKAH | TRUSTEE OF THE MCSHANE LIVING TRUST DATED | B | no | 01/2020 | Aug 12, 2026 | Aug 12, 2026 |
| MCSHANE, TRAVIS, JOHN | TRUSTEE OF THE MCSHANE LIVING TRUST DATED | B | no | 01/2020 | Aug 12, 2026 | Aug 12, 2026 |
| CALDERON FAMILY JOINT LIVING TRUST DTD 10/30/2006 | Shareholder | Na | no | 01/2021 | Feb 23, 2021 | Oct 23, 2024 |
| DAVID K. LITTLE AND JULIE A. LITTLE LIVING TRUST UAD 09/16/2008 | Shareholder | C | no | 11/2008 | Feb 18, 2015 | Oct 23, 2024 |
| HALL LIVING TRUST 2015 DTD 09/08/2015 | Shareholder | A | no | 01/2017 | Feb 23, 2017 | Oct 23, 2024 |
| LACHMAN FAMILY TRUST DATED 2/26/2004 | Shareholder | B | no | 01/2016 | Jun 1, 2016 | Oct 23, 2024 |
| MCSHANE LIVING TRUST, DATED 07/15/2019 | Shareholder | A | no | 01/2020 | Feb 23, 2021 | Oct 23, 2024 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| n/a | n/a | n/a | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Apr 3, 2026 | $1.5B | $1.3B | 17 | 10 | 2 | n/a | n/a |
| 2024 | Apr 8, 2025 | $1.2B | $1.1B | 15 | 9 | 1 | n/a | n/a |
| 2023 | Feb 16, 2024 | $1.1B | $921M | 15 | 9 | 0 | n/a | n/a |
| 2022 | Feb 16, 2023 | $923M | $814M | 15 | 9 | 0 | n/a | n/a |
| 2021 | Feb 16, 2022 | $1.1B | $905M | 14 | 9 | 0 | n/a | n/a |
| 2020 | Feb 23, 2021 | $921M | $775M | 13 | 8 | 0 | n/a | n/a |
| 2019 | Feb 6, 2020 | $822M | $688M | 13 | 8 | 0 | n/a | n/a |
| 2018 | Feb 14, 2019 | $727M | $610M | 14 | 8 | 0 | n/a | n/a |
| 2017 | Mar 7, 2018 | $723M | $618M | 14 | 8 | 0 | n/a | n/a |
| 2016 | Feb 23, 2017 | $686M | $587M | 15 | 8 | n/a | n/a | n/a |
| 2015 | Mar 1, 2016 | $645M | $556M | 16 | 8 | n/a | n/a | n/a |
| 2014 | Feb 18, 2015 | $634M | $539M | 13 | 7 | n/a | n/a | n/a |
| 2013 | Mar 14, 2014 | $566M | $479M | 13 | 7 | n/a | n/a | n/a |
| 2012 | Mar 5, 2013 | $492M | $415M | 12 | 6 | n/a | n/a | n/a |
| 2011 | Dec 15, 2011 | $450M | $376M | n/a | n/a | n/a | n/a | n/a |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 1 | 0 | 1 | 0.0% | 0 | 0 | 0 | 1 | 1 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $1.5B | $1.2B | 20.3% | $923M | 16.9% | 17 | 15 | 2 | 1 |