DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM under $100M

7• S•••••• F••••••••• L••

CRD 282577

SAN DIEGO, CA

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Search this name across graphsid dfx:ria:22d93289-c628-8826-71d8-9d2b6be6f761

Data as of Mar 27, 2024 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:32 PM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 4
On other graphs: 0
Observed: Nov 24, 2019 to Mar 27, 2024
7 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: independent wealth managerderivedprivate_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=4.0
Regulatory AUM: $88.4M••• Locked
Discretionary RAUM: $88.4M
Private client RAUM: $88.4Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 5

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D•••• J•• R••	Owner	E	yes	07/2011	Nov 24, 2019	Mar 27, 2024
D•••• J•••••• R••	CHIEF COMPLIANCE OFFICER	Na	yes	11/2015	Nov 24, 2019	Mar 27, 2024

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Livermore	CA	United States	2	no
LA MESA	CA	United States	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2023	Mar 27, 2024

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	2	-2	n/a	0	0	0	0	2

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2023	$88.4M	$92.0M	-3.9%	$115M	-8.4%	5	5	2	1

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
C••••••••• F•••••••• N••••••	2	Dec 31, 2025	Feb 18, 2025	SAN DIEGO, CA	Team lift out	RIA to ibd	100.0%

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
B•••••••• W••••• P•••••••• L••	3	Aug 1, 2016	Apr 22, 2016	SAN DIEGO, CA	Firm absorbed	Other	75.0%

Relationships

Controls (4)

← L••••• T•••••• S••••OwnerCHIEF EXECUTIVE OFFICER, ownership code NA, individual
Nov 24, 2019 to presentfactForm ADV
← D•••• J•••••• R••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Nov 24, 2019 to presentfactForm ADV
← J•• D••• F•••••••• S•••••••• I••OwnerOWNER, ownership code D, domestic entity
Nov 24, 2019 to presentfactForm ADV
← T••••• L•••• F•••••••• A••••••• I••OwnerOWNER, ownership code D, domestic entity
Nov 24, 2019 to presentfact

Dated events

Occurred
Dec 31, 2025
Team lift-out
••• Locked
Form ADVobserved 7 days ago
2 advisors
Occurred
Dec 31, 2025
A•••••• firm change
••• Locked
Form ADVobserved 7 days ago
Occurred
Dec 31, 2025
A•••••• firm change
••• Locked
Form ADVobserved 7 days ago
Occurred
Nov 24, 2019
First Form ADV filing

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:22d93289-c628-8826-71d8-9d2b6be6f761
First observed: Nov 24, 2019
Last observed: Mar 27, 2024 30 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.