DFX Intelligence

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

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RIA / WealthRegistered adviserIndependent wealth managerSEC registeredRAUM 100m 1b

S•••••• • G•••••• L••

CRD 136719

EL SEGUNDO, CA

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Data as of Mar 9, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 10:06 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: May 4, 2015 to Mar 9, 2026
18 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: independent wealth managerderivedprivate_client_share=0.89 fund_share=0.0 institutional_share=0.08 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $366M••• Locked
Discretionary RAUM: $366M
Private client RAUM: $328Mderived••• Locked
Private client share: 89%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 4
RAUM per advisor: $91.6Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
C••••••••• T••••• C•••••••	n/a	EL SEGUNDO, CA	12	23	n/a	no
R••• E••••• P••••••	n/a	EL SEGUNDO, CA	9	10

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••••••• C••••••••• T•••••	MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER	E	yes	03/2003	May 4, 2015	Mar 18, 2024
C•••••••• R••••••• A••	Member	Na	no	07/2022	Mar 21, 2023	Mar 18, 2024

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
0	0	0	0.0%	0	0	0	0	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	$366M	$318M	15.1%	$224M	17.7%	4	5	1	0

Relationships

Registered with (4)

← A••••• W•••••• L••••••Advisorregistration: previous registration
Feb 23, 2023 to Dec 31, 2024factForm ADV
← T••• M•••• H••••••Advisorregistration: current employment
Jun 12, 2019 to presentfactForm ADV
← R••• E••••• P••••••Advisorregistration: current employment
Feb 28, 2017 to presentfactForm ADV
← C••••••••• T••••• C•••••••

Dated events

Order

Occurred
4 May 2015
First Form ADV filing
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: May 4, 2015
Last observed: Mar 9, 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.