DFX Intelligence

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

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RIA / WealthRegistered adviserOther adviserSEC registeredRAUM 1b 10b

F••••••• S•••••••••

F••••••• S••••••••• L••, CRD 174306

ALISO VIEJO, CA

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Data as of Jun 26, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:08 PM UTC and rebuilt at most every 15 minutes.

Relationships: 23
Dated events: 26
On other graphs: 1
Observed: Jan 23, 2015 to Jun 26, 2026
43 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand; an owner is a different entity, resolved from Schedule A/B

Allocatorsidentity

F••••••• S••••••••• L••

Manager with allocator commitments · Key CRD

Private Equityowner

M•••••• D••••••• C•••••• P••••••• V•••••• L•••

owned by this fund per Schedule A/B (the fund is on its sponsor's Form ADV) · confidence 90% · family precision 100%

Private Equityowner

M•••••• D••••••• C•••••• P••••••• V•••••• L•••

owned by this fund per Schedule A/B (the fund is on its sponsor's Form ADV) · confidence 90% · family precision 100%

Facts

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

Firm class: other adviserderivedprivate_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $2.9B••• Locked
Discretionary RAUM: $2.9B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $971Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
L••••• N••••	n/a	ALISO VIEJO, CA	4	12	n/a	no
B•••• A•••• R••••••	Chartered Financial Analyst	ALISO VIEJO, CA \| Virginia Beach, VA	3	39

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••••• J•••• A••	CHIEF OPERATING OFFICER	Na	yes	12/2014	Jan 23, 2015	Nov 7, 2024
C•• F•••••••• I••••••••• L••	MANAGING MEMBER	E	yes	12/2022	Aug 13, 2024	Nov 7, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
G•••• G••• T•••• C••••••	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

Advisor flows

••• Locked

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	0

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	$2.9B	$80B	-96.4%	$40B	-58.1%	5	28	1	0

Relationships

Registered with (4)

← J•••••• S•••• E•••••••Advisorregistration: current employment
Apr 14, 2026 to presentfactForm ADV
← B•••• A•••• R••••••Advisorregistration: current employment
Nov 10, 2022 to presentfactForm ADV
← L••••• N••••Advisorregistration: current employment
Apr 1, 2022 to presentfactForm ADV
← B•••• E•••• N• N••••••

Dated events

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

Occurred
Jun 26, 2026
Ria principal change
••• Locked
Form ADVobserved today
Occurred
Dec 1, 2025
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$-77.2B
Occurred
Sep 26, 2024
Control person joined
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jan 23, 2015
Last observed: Jun 26, 2026 2 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.

Controls (15)

← S•••••••• M••••••• ••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Feb 15, 2024 to Nov 7, 2024factForm ADV
← M•••••• D••••••• P•••••••OwnerGENERAL PARTNER, ownership code F, domestic entity
Jan 23, 2015 to Nov 7, 2024factForm ADV
← G••••••••• V••••••• J•••••OwnerCEO, ownership code C, individual
Jan 23, 2015 to Nov 7, 2024factForm ADV
← D••••••••• N•••••••• D••••••OwnerPRESIDENT, ownership code B, individual
Jan 23, 2015 to Nov 7, 2024factForm ADV
← C••••••• J•••• A••OwnerCHIEF OPERATING OFFICER, ownership code NA, individual
Jan 23, 2015 to Nov 7, 2024factForm ADV
← E•••••••• J••••••• S••••OwnerSVP, CHIEF INVESTMENT OFFICER, ownership code NA, individual
Jan 23, 2015 to Nov 7, 2024factForm ADV
← C•• F•••••••• I••••••••• L••OwnerMANAGING MEMBER, ownership code E, domestic entity
Aug 13, 2024 to Nov 7, 2024factForm ADV
← C•• F• P•••••• L••OwnerOWNER, ownership code C, domestic entity
Aug 13, 2024 to Nov 7, 2024factForm ADV
← C•• H•••••• L••OwnerMANAGING MEMBER, ownership code E, domestic entity
Aug 13, 2024 to Nov 7, 2024factForm ADV
← C•• I••••••••• H•••••• L••OwnerMANAGING MEMBER, ownership code E, domestic entity
Aug 13, 2024 to Nov 7, 2024factForm ADV
← G•••• G••• G••••• L••OwnerMANAGING MEMBER, ownership code E, domestic entity
Nov 7, 2024 to Nov 7, 2024factForm ADV
← M•••••• D••••••• C•••••• P••••••• V•••••• L•••OwnerMEMBER, ownership code D, domestic entity
Aug 13, 2024 to Nov 7, 2024factForm ADV
← M•••••• D••••••• P••••••• V•••••••• L•••OwnerGENERAL PARTNER, ownership code F, domestic entity
Aug 13, 2024 to Nov 7, 2024factForm ADV
← M••• V••••• C•• B••••••• I•••OwnerLIMITED PARTNER, ownership code E, domestic entity
Aug 13, 2024 to Nov 7, 2024factForm ADV
← M••• V••••• C•• S•••••••• L•••OwnerMEMBER, ownership code C, domestic entity
Aug 13, 2024 to Nov 7, 2024factForm ADV