DFX Intelligence

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

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RIA / WealthRegistered adviserstate registeredstate registeredRAUM under $100M

M••••• S•••••• A•••• M••••••••• L••

CRD 174928

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Search this name across graphsid dfx:ria:14e64334-8f9c-3551-56ab-7b4d80378a02

Data as of May 7, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:12 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: May 7, 2026 to May 7, 2026
1 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: state registeredderivedon the IAPD state feed, not SEC-registered
Regulatory AUM: $76.4M••• Locked
Discretionary RAUM: $76.4M
Private client RAUM: $74.4Mderived••• Locked
Private client share: 97%derivedprivate client RAUM over total RAUM
Employees: 1
Advisory employees: 1

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
R••• T••••• D••••	n/a	Trabuco Canyon, CA \| COTO DE CAZA, CA	1	11	n/a	no
M••••• D• S••••••	n/a	COTO DE CAZA, CA	0	12

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	n/a	0	0	0	1	0

Relationships

Registered with (2)

← M••••• D• S••••••Advisorregistration: current employment
Nov 3, 2025 to presentfactForm ADV
← R••• T••••• D••••Advisorregistration: current employment
Jan 24, 2025 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:14e64334-8f9c-3551-56ab-7b4d80378a02
First observed: May 7, 2026
Last observed: May 7, 2026 4 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.