DFX Intelligence

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

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RIA / WealthRegistered adviserinstitutional managerSEC registeredRAUM 100m 1b

R••••••••• W••••••• G••••

R••••••••• W••••••• G•••• LLC, CRD 297255

PASADENA, CA

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Search this name across graphsid dfx:ria:2259fb0f-8c7c-6a6f-c7e0-9415cbe51f9a

Data as of Mar 24, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:31 PM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 11
On other graphs: 1
Observed: May 16, 2018 to Mar 24, 2026
24 observations

Across DFX

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

Allocatorsidentity

R••••••••• W••••••• G••••

Investment consultant · shared crd

Facts

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

Firm class: institutional managerderivedprivate_client_share=0.0 fund_share=0.0 institutional_share=1.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $527M••• Locked
Discretionary RAUM: $204M
Private client RAUM: $667,754derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $263Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
B••• G•••• D••••••	n/a	PASADENA, CA	8	11	1	no
S••••••• O•• M•••	n/a	PASADENA, CA	1	15

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••• K•••• R••••••••• C••••••••• L••	Owner	E	yes	01/2024	Mar 27, 2024	Nov 25, 2024
D••••••• B••• G••••	Owner	E	yes	01/2024	Mar 27, 2024	Nov 25, 2024

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Torrance	CA	United States	1	yes

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

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	0	0	0.0%	0	0	0	1	0

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	$527M	$524M	0.6%	$145M	53.6%	2	2	1	1

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
M• H••••••• S••••••••• I•••	2	May 31, 2018	Jan 1, 2025	TORRANCE, CA	Team lift out	Ibd to new firm	1.1%

Relationships

Registered with (5)

← S••••••• O•• M•••Advisorregistration: current employment
Jan 1, 2025 to presentfactForm ADV
← B••• G•••• D••••••Advisorregistration: current employment
Jul 13, 2018 to presentfactForm ADV
← J••••• M•••••• D•••Advisorregistration: previous registration
Apr 12, 2019 to Jan 18, 2023factForm ADV
← T•••• N••••• L••

Dated events

Occurred
Mar 27, 2024
Regulatory AUM changed
••• Locked
Form ADVobserved 7 days ago
$341M
Occurred
Mar 27, 2024
Control person left
••• Locked
Form ADVobserved 7 days ago
Occurred
Mar 27, 2024
Control person left
••• Locked
Form ADVobserved 7 days ago
Occurred
Mar 27, 2024
Control person joined

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2259fb0f-8c7c-6a6f-c7e0-9415cbe51f9a
First observed: May 16, 2018
Last observed: Mar 24, 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.