DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

L•••• F•••••••• G••••• I•••

CRD 146421

THOUSAND OAKS, CA

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Search this name across graphsid dfx:ria:1a648055-c9d7-c45d-31a7-d9d4bb71e123

Data as of Mar 22, 2019 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:43 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2012 to Mar 22, 2019
12 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: $307M••• Locked
Discretionary RAUM: $307M
Private client RAUM: $304Mderived••• Locked
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 7
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
L••••• C••••••••• A••••••	PRESIDENT AND CHIEF COMPLIANCE OFFICER	E	yes	03/2008	Mar 30, 2012	Mar 22, 2019
B••••••••• J••••••• A•••••	VICE PRESIDENT	B	no	01/2014	Mar 15, 2014	Mar 22, 2019

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
F•••• F•••••••• M••••••••• L•	n/a	Independent wealth	$8.7B	N	yes	n/a
J•••••• A• B•••••••••	n/a	n/a	n/a	Y	yes	n/a
K••••••• M• I••••

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2018

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2018	$307M	$282M	8.8%	$187M	18.0%	7	7	0	0

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
F•••• F•••••••• M••••••••• L•	4	Apr 2, 2019	Jul 22, 2025	THOUSAND OAKS, CA	Firm absorbed	RIA to RIA	100.0%

Relationships

Affiliated with (1)

→ F•••• F•••••••• M••••••••• L•Registered adviserother investment adviser, common control
factForm ADV

Controls (1)

← L••••• C••••••••• A••••••OwnerPRESIDENT AND CHIEF COMPLIANCE OFFICER, ownership code E, individual
Mar 30, 2012 to presentfactForm ADV

Owns (1)

← B••••••••• J••••••• A•••••OwnerVICE PRESIDENT, ownership code B, individual
Mar 15, 2014 to presentfactForm ADV

Moved with (1)

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1a648055-c9d7-c45d-31a7-d9d4bb71e123
First observed: Mar 30, 2012
Last observed: Mar 22, 2019 91 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.