DFX Intelligence

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

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RIA / WealthRegistered adviserinstitutional managerSEC registeredRAUM 10b 100b

C••••••• P••••••• I••••••••• A•••••••• L••

CRD 126777

NEWPORT BEACH, CA

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Search this name across graphsid dfx:ria:0e980d88-031e-1334-a297-3d659a465499

Data as of Aug 25, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:26 AM UTC and rebuilt at most every 15 minutes.

Relationships: 233
Dated events: 40
On other graphs: 1
Observed: Mar 21, 2012 to Aug 25, 2026
94 observations

Across DFX

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

Allocatorsidentity

C••••••• P••••••• I••••••••• A•••••••• L••

Investment consultant · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: institutional managerderivedprivate_client_share=0.01 fund_share=0.0 institutional_share=0.99 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $38B••• Locked
Discretionary RAUM: $38B
Private client RAUM: $523Mderived••• Locked
Private client share: 1%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 95
RAUM per advisor: $395Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
M•••••• C•••• H•••••••	n/a	NEWPORT BEACH, CA	23	37	1	no
R••••• T••• T••••••••	n/a	NEWPORT BEACH, CA \| Ft. Lauderdale, FL	19	19

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••• I• A•• A• L•••	LIMITED PARTNER	D	yes	12/2020	Feb 1, 2021	Nov 7, 2024
A• S••• B••••• L••	DIRECT OWNER	E	yes	12/2020	Feb 1, 2021	Nov 7, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S••••••• P•••••• C••••• G••••• L••	n/a	Former SEC adviser	$0	N	yes	n/a
S••••••• I•••••••• S•••••••• I•••	n/a	n/a	n/a	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Knoxville	Tn	United States	17	yes
Pheonix	Az	United States	8	yes
REDWOOD CITY	CA	United States	7	yes
Boston	Ma	United States	6	yes
EDEN PRAIRIE	Mn	United States

Regulatory AUM by fiscal year

••• Locked

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

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
2	23	-21	24.2%	1	3	0	27	45

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	$38B	$239B	-84.3%	$156B	-37.9%	195	248	23	36

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
G••••• R••••••••• P••••••• L••	2	Apr 2, 2026	Apr 1, 2026	IRVINE, CA	Team lift out	Other	2.0%
C••••••• P•••••••	2	Mar 3, 2026	Jan 21, 2026

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
C•• S••••	7	Dec 10, 2025	Aug 14, 2025	OAKBROOK TERRACE, IL	Firm absorbed	Other	87.5%
C••••• I••••••••• A••••••• L••	5	Jan 9, 2024	Jan 21, 2022

Relationships

showing 80 of 233

Affiliated with (2)

→ S••••••• P•••••• C••••• G••••• L••Registered adviserother investment adviser, common control
factForm ADV
← S••••••• P•••••• C••••• G••••• L••Registered adviserother investment adviser, common control
factForm ADV

Registered with (78)

← J•••••• T••• B•••••Advisorregistration: current employment
Jul 20, 2026 to presentfactForm ADV

Dated events

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

Occurred
Aug 4, 2026
A•••••• firm change
••• Locked
Form ADVobserved 8 days ago
Occurred
Aug 3, 2026
A•••••• firm change
••• Locked
Form ADVobserved 8 days ago
Occurred
Jul 14, 2026
A•••••• firm change
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0e980d88-031e-1334-a297-3d659a465499
First observed: Mar 21, 2012
Last observed: Aug 25, 2026 29 days 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.