DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

C••••• C•••••• P•••••••• L••

CRD 123907

SAN DIEGO, CA

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Search this name across graphsid dfx:ria:189d1530-5d21-5f9c-62a5-b5c2717d28ce

Data as of Mar 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:22 AM UTC and rebuilt at most every 15 minutes.

Relationships: 29
Dated events: 7
On other graphs: 1
Observed: Mar 23, 2012 to Mar 27, 2026
32 observations

Across DFX

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

Real Estate Fundsidentity

C••••• C•••••• P•••••••• L••

Real estate fund manager · shared crd

Facts

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

Firm class: independent wealth managerderivedprivate_client_share=0.85 fund_share=0.04 institutional_share=0.1 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $434M••• Locked
Discretionary RAUM: $431M
Private client RAUM: $371Mderived••• Locked
Private client share: 85%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 8
RAUM per advisor: $54.3Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
R•••••• G•••• S•••••••••	n/a	SAN DIEGO, CA	8	25	1	no
K•••• E••••• S••••••••	Chartered Financial Analyst	Highland Park, IL \| SAN DIEGO, CA	3	22

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
O••••• D••• F••••••• • A• S••••• O• C•• E••••• H•••••••• L••	Real Estate Fund	$13.9M	Mar 27, 2026	28	Mar 28, 2024	reported	n/a
S••••• M••••• F•••• L•••	Hedge Fund	$7.1M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••• H••• C••• L••	Owner	E	yes	04/2023	Mar 28, 2024	Sep 16, 2024
C•• L••••• H•••••••	Owner	D	yes	04/2023	Mar 28, 2024	Sep 16, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S••••••• P•••••••• L••	n/a	Independent wealth	$350M	N	no	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
SAN DIEGO	CA	United States	1	yes
n/a	n/a	n/a	1	no

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
2	2	0	25.0%	0	1	0	5	2

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	$434M	$380M	14.2%	$371M	5.4%	9	8	4	3

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
3•• A•••••••• L••	2	Dec 31, 2023	Dec 11, 2025	SAN DIEGO, CA	Team lift out	Other	100.0%

Relationships

Registered with (13)

← C•••• L• P••••••••Advisorregistration: current employment
Sep 8, 2026 to presentfactForm ADV
← S•••• J• F••••••Advisorregistration: current employment
Jan 23, 2026 to presentfactForm ADV
← R••• S•••• P•••••••Advisorregistration: current employment
Dec 11, 2025 to presentfactForm ADV
← J••• M••• W••••••

Dated events

Occurred
Mar 27, 2026
Private fund no longer reported
••• Locked
Form ADVobserved today
$2.9M
Occurred
Nov 25, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 28, 2024
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Dec 31, 2023

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:189d1530-5d21-5f9c-62a5-b5c2717d28ce
First observed: Mar 23, 2012
Last observed: Mar 27, 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.