DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM 100m 1b

C•••••• C•••••• P•••••••

C•••••• C•••••• P••••••• LLC, CRD 129898

NEWPORT BEACH, CA

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Search this name across graphs

Data as of Jul 17, 2025 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:29 PM UTC and rebuilt at most every 15 minutes.

Relationships: 17
Dated events: 17
On other graphs: 2
Observed: Mar 29, 2012 to Jul 17, 2025
72 observations

Across DFX

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

Private Equityidentity

C•••••• C•••••• P•••••••

Private equity manager · key_crd, key_sfn_adviser, shared_crd

Allocatorsidentity

C•••••• C•••••• P•••••••

Investment consultant · key_crd, key_sfn_adviser, shared_crd

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: $438M••• Locked
Discretionary RAUM: $389M
Private client RAUM: $367Mderived••• Locked
Private client share: 84%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 7

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
C•••••• C•••••• P••••••• N••• G•• M••••• L••	Private Equity Fund	$4.6M	May 22, 2024	41	Jun 16, 2022	reported	n/a

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
R••••••• T•••• A••••	MANAGING PARTNER AND CHIEF COMPLIANCE OFFICER	E	yes	09/2000	Mar 29, 2012	May 22, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
T••• R••••••	n/a	n/a	n/a	Y	no	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Bellevue	Wa	United States	2	yes

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
0	6	-6	n/a	0	0	0	1	10

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2024	$438M	$371M	17.8%	$422M	1.3%	7	12	1	1

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
S••••• F••••••••• L••	4	Sep 30, 2025	Jul 15, 2025	NEWPORT BEACH, CA	Firm absorbed	RIA to ibd	80.0%

Relationships

Advises (1)

→ C•••••• C•••••• P••••••• N••• G•• M••••• L••Private fundPrivate Equity Fund, IA
Jun 16, 2022 to presentfactForm ADV

Registered with (14)

← O••••• G••••Advisorregistration: previous registration
Mar 31, 2014 to Sep 30, 2025factForm ADV
← T••• A•••• R••••••Advisorregistration: previous registration
Sep 3, 2010 to Sep 30, 2025factForm ADV

Dated events

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

Order

Occurred
30 Sep 2025
Advisor changed firm5 events
C•••••• C•••••• P•••••••: advisor changed firm, 5 counterparties, on 30 Sep 2025
- ••• Locked
- ••• Locked
- ••• Locked
Occurred
30 Sep 2025
Firm absorbed
••• Locked
Form ADV
4 advisors
Occurred
17 Jul 2025
Advisor changed firm
••• Locked
Form ADV
Occurred
23 Jun 2025
Advisor changed firm
••• Locked
Form ADV
Occurred
21 May 2025
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 29, 2012
Last observed: Jul 17, 2025 14 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.

All 14 rows

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2014	Mar 26, 2015	$119M	$109M	2	2	n/a	n/a	n/a
2013	Jul 31, 2014	$99.0M	$81.0M	2	2	n/a	n/a	n/a
2012	Apr 1, 2013	$99.0M	$81.0M	2	2	n/a	n/a	n/a
2011	Mar 29, 2012	$155M	$39.8M	n/a	n/a	n/a	n/a	n/a