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F••••••• G••••• P••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserinstitutional managerSEC registeredRAUM 100m 1b

F••••••• G••••• P••••••• L••

CRD 145341

LA JOLLA, CA

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Search this name across graphsid dfx:ria:0cb7385e-5580-15d4-3613-44f828b4a6eb

Data as of Feb 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:57 AM UTC and rebuilt at most every 15 minutes.

Relationships: 23
Dated events: 5
On other graphs: 0
Observed: Mar 5, 2012 to Feb 27, 2026
31 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: institutional managerderivedprivate_client_share=0.05 fund_share=0.18 institutional_share=0.76 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $713MItem 5.F on the latest filing (2026-02-27); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $702M
Private client RAUM: $37.9MderivedItem 5.D individuals plus high net worth individuals
Private client share: 5%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
L••••••• S••• S•••••••	Chartered Financial Analyst	LA JOLLA, CA	18	43	2	no
H•••••• A••••• V•••••••	Chartered Financial Analyst	LA JOLLA, CA	6	34

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
F••••••• M••••• O••••••••• M••••• F•••• L•	Hedge Fund	$86.2M	Mar 20, 2024	3	Mar 5, 2012	reported	021-426874
F••••••• M••••• O••••••••• F•••• L•	Hedge Fund	$56.7M

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
S•••••• D••••• H••••	CHIEF OPERATING OFFICER AND CHIEF COMPLIANCE OFFICER	Na	yes	06/2021	Jun 24, 2021	Mar 20, 2024
S•••••••• L•••••••• S•••	Trustee	F	yes	05/1995	Mar 5, 2012

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

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

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	0	0

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
2025	$713M	$603M	18.2%	$652M	3.0%	10	9	0	0

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
H•• C••••••	2	Dec 31, 2018	Mar 23, 2020	LA JOLLA, CA	Team lift out	Other	100.0%

Relationships

Advises (7)

→ F••••••• M••••• S••••• F••• I• L•Private fundHedge Fund, IA
Mar 5, 2012 to presentfactForm ADV
→ F••••••• M••••• O••••••••• M••••• F•••• L•Private fundHedge Fund, IA
Mar 5, 2012 to presentfactForm ADV
→ H•• G••••• M•••• F•••• L•••Private fundHedge Fund, IA, no longer reported
May 16, 2018 to Jun 24, 2021factForm ADV
→ F••••••• M••••• S••••• F•••• L•

Dated events

Occurred
Aug 10, 2023
Control person left
Arthur Chris Herrera (Trustee) no longer on Schedule A of F••••••• G••••• P••••••• L•• (listed 2023-04-28, absent 2023-08-10)
Form ADVobserved 7 days ago
Occurred
May 18, 2022
Control person left
Alexis Sunshine Stein (Trustee) no longer on Schedule A of F••••••• G••••• P••••••• L•• (listed 2022-03-31, absent 2022-05-18)
Form ADVobserved 7 days ago
Occurred
Jun 24, 2021
Control person left
Alese Danielle Grant (Chief Operating Officer, Chief Compliance Officer) no longer on Schedule A of F••••••• G••••• P••••••• L•• (listed 2021-06-24, absent 2021-06-24)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0cb7385e-5580-15d4-3613-44f828b4a6eb
First observed: Mar 5, 2012
Last observed: Feb 27, 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.

2025	Feb 27, 2026	$713M	$702M	10	6	0	2	n/a
2024	Feb 28, 2025	$603M	$595M	9	5	0	2	n/a
2023	Mar 20, 2024	$651M	$650M	9	5	0	2	$98.0M
2022	Mar 28, 2023	$652M	$651M	10	6	0	2	$85.4M
2021	Mar 31, 2022	$579M	$579M	10	6	0	2	$110M
2020	Mar 31, 2021	$600M	$600M	10	6	0	3	$176M
2019	Mar 30, 2020	$407M	$407M	10	6	0	3	$203M
2018	Mar 29, 2019	$328M	$328M	12	8	1	3	$223M
2017	Mar 29, 2018	$318M	$318M	6	5	0	2	$252M
2016	Mar 30, 2017	$254M	$254M	6	5	n/a	2	$191M
2015	Mar 30, 2016	$235M	$235M	6	5	n/a	2	$178M
2014	Mar 31, 2015	$268M	$268M	6	3	n/a	2	$196M
2013	Mar 20, 2014	$225M	$225M	7	4	n/a	6	$272M
2012	Mar 28, 2013	$136M	$136M	6	3	n/a	6	$145M
2011	Mar 5, 2012	$100M	$100M	n/a	n/a	n/a	6	$96.9M