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

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RIA / WealthRegistered adviserformer SEC adviserNot on rosterRAUM under $100M

C••••••••• • R••• I••

CRD 104839

WOODLAND HILLS, CA

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Data as of Mar 14, 2016 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 2:28 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 0
On other graphs: 0
Observed: Mar 21, 2012 to Mar 14, 2016
6 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $96.5M••• Locked
Discretionary RAUM: $96.5M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 8
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
R•••• D•••••• D••	PRESIDENT/CHIEF COMPLIANCE OFFICER	E	yes	08/1979	Mar 21, 2012	Mar 14, 2016
R•••• J•••••••• C•••••••••	VICE PRESIDENT	Na	yes	08/2010	Mar 21, 2012	Mar 14, 2016

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Mar 14, 2016

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2015	$96.5M	$106M	-8.8%	$94.1M	0.8%	8	8	n/a	n/a

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
H••••••• W••••• P•••••••	3	Sep 14, 2016	Sep 15, 2016	WOODLAND HILLS, CA	Firm absorbed	Other	100.0%

Relationships

Controls (3)

← S••••••••• L•••• I••••OwnerCHIEF OPERATIONS OFFICER, ownership code NA, individual
Mar 21, 2012 to presentfactForm ADV
← R•••• D•••••• D••OwnerPRESIDENT/CHIEF COMPLIANCE OFFICER, ownership code E, individual
Mar 21, 2012 to presentfactForm ADV
← R•••• J•••••••• C•••••••••OwnerVICE PRESIDENT, ownership code NA, individual
Mar 21, 2012 to presentfactForm ADV

Owns (1)

← A••••• C••••• M•••••••OwnerVICE PRESIDENT, ownership code NA, individual

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 21, 2012
Last observed: Mar 14, 2016 128 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.