DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC adviserNot on rosterRAUM none

S•••••••• R••• E•••••

S•••••••• I•••••••••, LLC, CRD 312895

LOS ANGELES, CA

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Data as of Jan 3, 2022 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 3:37 AM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 1
On other graphs: 0
Observed: Oct 1, 2021 to Jan 3, 2022
2 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
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Employees: 2
Advisory employees: 2
Offices: 0Schedule D 1.F, beyond the principal office
SEC number: 801-122604
CRD: 312895

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••• S•••• L••••••	SOLE MEMBER	E	yes	01/2014	Oct 1, 2021	Jan 3, 2022
G•• C•••••• A••••••• U••	Member	D	yes	10/2020	Oct 1, 2021	Jan 3, 2022

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
G•••••• C•••••• •••• K•••• L••••••	n/a	n/a	n/a	N	yes	n/a
G•• C•••••• A••••••• ••••• L••	n/a	Former SEC adviser	n/a	Y	yes	n/a

Relationships

Affiliated with (1)

→ G•• C•••••• A••••••• U••Registered adviserother investment adviser, control, common control
factForm ADV

Controls (7)

← G•• C•••••• A••••••• U••OwnerMEMBER, ownership code D, domestic entity
Oct 1, 2021 to presentfactForm ADV
← L••••• J•••••• T••••••OwnerSHAREHOLDER, ownership code E, individual
Oct 1, 2021 to presentfactForm ADV
← G••• G••••••OwnerSHAREHOLDER, ownership code C, individual

Dated events

Order

Occurred
1 Oct 2021
First Form ADV filing
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Oct 1, 2021
Last observed: Jan 3, 2022 57 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.