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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

L••••• W••••• A•••••••• I•••

CRD 157139

SOLANA BEACH, CA

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Search this name across graphsid dfx:ria:0e7c3561-62b7-0dce-f218-bb7d87d85bc4

Data as of Jul 11, 2022 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:18 AM UTC and rebuilt at most every 15 minutes.

Relationships: 103
Dated events: 13
On other graphs: 1
Observed: Nov 11, 2011 to Jul 11, 2022
59 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Allocatorsidentity

L••••• W••••• A•••••••• I•••

Investment consultant · shared crd

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: $2.4BItem 5.F on the latest filing (2022-07-11); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $2.1B
Private client RAUM: $1.8BderivedItem 5.D individuals plus high net worth individuals
Private client share: 77%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
L•••••• B••••• M••••••	CHIEF COMPLIANCE OFFICER & DIRECTOR OF OPERATIONS	Na	yes	02/2021	Apr 30, 2019	Jul 11, 2022
T••••••• L••• A•••••	PRINCIPAL & PRESIDENT	D	yes	05/2011	Nov 11, 2011

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Fresno	CA	United States	9	yes
NEWPORT BEACH	CA	United States	3	no
Carslbad	CA	United States	2	yes
BERMUDA DUNES	CA	United States	1	no
HUNTINGTON BEACH	CA

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
2021	$2.4B	$1.7B	38.4%	$1.2B	27.1%	40	41	13	16

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
I••••••••• W••••• C••••••• L••	2	Feb 21, 2023	Feb 3, 2023	SOLANA BEACH, CA	Team lift out	RIA to RIA	5.3%
V•• B•••• W••••• M••••••••• G••••• L••	2	May 4, 2021

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
U•• F•••••••• S••••••• I•••	2	Dec 16, 2021	Jan 5, 2022	LA CANADA, CA	Team lift out	Wirehouse to RIA	0.0%
A••••• P•••••• W•••••• I•••	2	Dec 31, 2020

Relationships

showing 80 of 103

Controls (3)

← W••••• M•••• D•••••OwnerPRINCIPAL & MANAGING DIRECTOR, ownership code D, individual
Nov 6, 2014 to presentfactForm ADV
← T••••••• L••• A•••••OwnerPRINCIPAL & PRESIDENT, ownership code D, individual
Nov 11, 2011 to presentfactForm ADV
← L•••••• B••••• M••••••OwnerCHIEF COMPLIANCE OFFICER & DIRECTOR OF OPERATIONS, ownership code NA, individual
Apr 30, 2019 to presentfactForm ADV

Registered with (43)

← CONSTANCE MICHELLE WALSH

Dated events

2 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Feb 21, 2023
Team lift-out
2 advisors left L••••• W••••• A•••••••• I••• (Solana Beach, CA) for I••••••••• W••••• C••••••• L•• on the same day
Form ADVobserved 6 days ago
2 advisors
Occurred
Feb 21, 2023
Advisor changed firm
John Patrick Berry left L••••• W••••• A•••••••• I••• for I••••••••• W••••• C••••••• L•• (registered 2023-02-03)
Form ADVobserved 6 days ago
Occurred
Feb 21, 2023
Advisor changed firm
Beverly Sue Robinson left L••••• W••••• A•••••••• I••• for I••••••••• W••••• C••••••• L•• (registered 2023-02-01)
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0e7c3561-62b7-0dce-f218-bb7d87d85bc4
First observed: Nov 11, 2011
Last observed: Jul 11, 2022 51 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.