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CRD 264786
NEWPORT BEACH, CA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| I••••• Z• M••••••••• | n/a | NEWPORT BEACH, CA | 11 | 30 | 4 | yes |
| M•••••• L•• R•••••••• | n/a | NEWPORT BEACH, CA | 7 | 17 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| M•••••• A•••••• A•••• | Member | D | yes | 08/2016 | Feb 10, 2017 | Dec 18, 2024 |
| M••••••••• I•••••• Z• | MEMBER AND CHIEF COMPLIANCE OFFICER | D | yes | 07/2015 | Jun 23, 2015 | Dec 18, 2024 |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 5 | 2 | 3 | 18.2% | 0 | 0 | 0 | 9 | 4 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $397M | $296M | 34.0% | $180M | 30.2% | 15 | 9 | 1 | 0 |
| yes |
| D•••• A••••• B•••• | n/a | NEWPORT BEACH, CA | 3 | 31 | 1 | yes |
| G••••• N•••••• G••••• | n/a | NEWPORT BEACH, CA | 2 | 35 | 4 | yes |
| N••• A•••••• S••• | n/a | NEWPORT BEACH, CA | Porter Ranch, CA | 1 | 10 | 1 | no |
| J•••••• D•••• B•••••• | n/a | Cypress, CA | NEWPORT BEACH, CA | 0 | 28 | 3 | yes |
| M••••• J•••••• L••••••• | n/a | NEWPORT BEACH, CA | 0 | 34 | 5 | yes |
| C•••••••• C•••••• | n/a | NEWPORT BEACH, CA | 0 | 10 | 2 | no |
| D••••• N••••• | Certified Financial Planner | Culver City, CA | NEWPORT BEACH, CA | 0 | 19 | 2 | no |
| B•••• W•••••• F•••• | Chartered Financial Analyst | NEWPORT BEACH, CA | POINT LOOKOUT, NY | 0 | 13 | n/a | no |
| G•••••• J• J••••• | n/a | Excondido, CA | NEWPORT BEACH, CA | 0 | 10 | 1 | yes |
| n/a |
| n/a |
| n/a |
| N |
| yes |
| n/a |
| $397M |
| $166M |
| 15 |
| 8 |
| 0 |
| n/a |
| n/a |
| 2024 | Feb 26, 2025 | $296M | $94.6M | 9 | 7 | 0 | n/a | n/a |
| 2023 | Feb 5, 2024 | $260M | $75.4M | 7 | 4 | 0 | n/a | n/a |
| 2022 | Mar 10, 2023 | $180M | $13.1M | 7 | 5 | 0 | n/a | n/a |
| 2021 | Mar 14, 2022 | $210M | $15.0M | 8 | 4 | 0 | n/a | n/a |
| 2020 | Mar 1, 2021 | $216M | $15.0M | 12 | 5 | 0 | n/a | n/a |
| 2019 | Feb 10, 2020 | $192M | $18.0M | 13 | 6 | 1 | n/a | n/a |
| 2018 | Mar 7, 2019 | $136M | $0 | 10 | 4 | 0 | n/a | n/a |
| 2017 | Feb 13, 2018 | $130M | $0 | 8 | 3 | 0 | n/a | n/a |
| 2015 | Mar 28, 2016 | $74.0M | $0 | 10 | 6 | n/a | n/a | n/a |