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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

F•••• A••••• A•••• M••••••••• I•••

CRD 140292

SAN DIEGO, 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:12586aba-c040-0967-6860-bb94646838af

Data as of Jun 24, 2015 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:50 AM UTC and rebuilt at most every 15 minutes.

Relationships: 39
Dated events: 0
On other graphs: 0
Observed: Nov 15, 2011 to Jun 24, 2015
30 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $9.0MItem 5.F on the latest filing (2015-06-24); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $9.0M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%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
B•••••••• L•••••• M••••	CHIEF COMPLIANCE OFFICER	Na	yes	02/2007	Nov 15, 2011	Jun 24, 2015
C•••••••• C••••• E•••••	President	Na	yes	06/2012	Jun 1, 2012

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C••••• I••••••••• A••••••• L••	n/a	Bd affiliated wealth	$257B	N	yes	n/a
C••••• A•••••• N••••••• L••	n/a	Former SEC adviser	$47B	N	yes

Offices

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

City	State	Country	Employees	Also broker-dealer
Scottsdale	Az	United States	n/a	no
n/a	n/a	n/a	n/a	no

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
2014	$9.0M	$1.0B	-99.1%	$691M	-76.5%	15	15	n/a	n/a

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
C••••• I••••••••• M••••••••• L••	3	Oct 30, 2015	Jun 9, 2015	SCOTTSDALE, AZ	Firm absorbed	Other	50.0%
C••••• I••••••••• M••••••••• L••	2	Oct 30, 2015

Relationships

Affiliated with (14)

→ C••••• A••••••• L••Registered adviserother investment adviser, broker-dealer, common control
factForm ADV
→ L••••• A•••••••, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ C••••• I••••••••• A••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ S••••• F•••••••• G•••• I••Registered adviserother investment adviser, common control

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:12586aba-c040-0967-6860-bb94646838af
First observed: Nov 15, 2011
Last observed: Jun 24, 2015 136 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.