DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 100m 1b

C•• C•••••• S• M••••••••• L••

CRD 306166

LOS ANGELES, CA

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Search this name across graphsid dfx:ria:23430b13-b33a-1ba8-622b-5b2a5569db8e

Data as of Sep 2, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:16 AM UTC and rebuilt at most every 15 minutes.

Relationships: 37
Dated events: 1
On other graphs: 0
Observed: Oct 16, 2019 to Sep 2, 2026
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: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=12.0
Regulatory AUM: $134M••• Locked
Discretionary RAUM: $134M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 160

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••••• B••••• N•••	VICE PRESIDENT AND CHIEF FINANCIAL OFFICER	Na	yes	10/2019	Oct 16, 2019	Mar 29, 2024
C•• G•••• M••••••••• H•••••••• L••	Member	E	yes	06/2022	Sep 13, 2022	Mar 29, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C•• C••••••• L••	n/a	Asset manager	$2.7B	N	yes	n/a
O•• C•••••• M••••••••• L••	n/a	Asset manager	$1.8B	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 27, 2026

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	$134M	$82.1M	63.5%	$97.9M	11.1%	160	148	0	0

Relationships

Affiliated with (9)

→ O•• C•••••• M••••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ C•• C••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ O•• C•• M••••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ C•• C•••••• I• M••••••••• L••Registered adviserother investment adviser, common control

Dated events

Occurred
Oct 16, 2019
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:23430b13-b33a-1ba8-622b-5b2a5569db8e
First observed: Oct 16, 2019
Last observed: Sep 2, 2026 21 days 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.

Controls (22)

← R••••••• R••••••• S••••OwnerTRUSTEE, ownership code F, individual
Oct 16, 2019 to Mar 29, 2024factForm ADV
← P•••••• M••••• S•• D•••••OwnerVICE PRESIDENT, SECRETARY AND CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Oct 16, 2019 to Mar 29, 2024factForm ADV
← S••••••• A••••••• ••••OwnerMANAGER, ownership code F, individual
Oct 16, 2019 to Mar 29, 2024factForm ADV
← K•••• S••••• ••••OwnerMANAGER, ownership code F, individual
Oct 16, 2019 to Mar 29, 2024factForm ADV
← B•••••• B••••• N•••OwnerVICE PRESIDENT AND CHIEF FINANCIAL OFFICER, ownership code NA, individual
Oct 16, 2019 to Mar 29, 2024factForm ADV
← E••••• J••••• M••••OwnerVICE PRESIDENT AND CHIEF TECHNOLOGY OFFICER, ownership code NA, individual
Oct 16, 2019 to Mar 29, 2024factForm ADV
← C•• G•••• M••••••••• H•••••••• L••OwnerMEMBER, ownership code E, domestic entity
Sep 13, 2022 to Mar 29, 2024factForm ADV
← C•• G•••• M••••••••• L••OwnerSOLE MEMBER, ownership code E, domestic entity
Mar 31, 2022 to Mar 29, 2024factForm ADV
← C•• G••••• L••OwnerMEMBER, ownership code E, domestic entity
Oct 16, 2019 to Mar 29, 2024factForm ADV
← C•• H••••••• G••• L••OwnerGENERAL PARTNER, ownership code F, domestic entity
Mar 31, 2021 to Mar 29, 2024factForm ADV
← C•• H•••••••• I•••OwnerMEMBER, ownership code D, domestic entity
Oct 16, 2019 to Mar 29, 2024factForm ADV
← C•• H•••••••• L•OwnerMEMBER, ownership code D, domestic entity
Oct 16, 2019 to Mar 29, 2024factForm ADV
← K•• I••••••••• H•••••••• L••OwnerMEMBER, ownership code C, domestic entity
Mar 31, 2022 to Mar 29, 2024factForm ADV
← K••• 2••• F••••• T••••OwnerMEMBER, ownership code E, domestic entity
Mar 31, 2022 to Mar 29, 2024factForm ADV
← O••• L••OwnerMEMBER, ownership code C, domestic entity
Jan 31, 2020 to Mar 29, 2024factForm ADV
← O•••••• C•••••• C•••••••••OwnerMANAGER, ownership code F, domestic entity
Mar 31, 2021 to Mar 29, 2024factForm ADV
← O•••••• C•••••• H••••••• C•••••••••OwnerMEMBER, ownership code E, domestic entity
Mar 31, 2021 to Mar 29, 2024factForm ADV
← O•••••• I••••••••• L••OwnerMEMBER, ownership code D, domestic entity
Mar 31, 2021 to Mar 29, 2024factForm ADV
← S•• I••••••••• H•••••••• L••OwnerMEMBER, ownership code C, domestic entity
Mar 31, 2022 to Mar 29, 2024factForm ADV
← S•••••• 2••• F••••• T••••OwnerMEMBER, ownership code E, domestic entity
Mar 31, 2022 to Mar 29, 2024factForm ADV
← T•• O•• 2••• T••••OwnerMEMBER, ownership code C, domestic entity
Jan 31, 2020 to Mar 29, 2024factForm ADV
← T•• R•••••• S• R•••••• A•• A••••• S• R•••••• R•••••••• T••••OwnerMEMBER, ownership code E, domestic entity
Mar 29, 2024 to Mar 29, 2024factForm ADV