DFX Intelligence

E••••• W••••• A••••••• L•: registered adviser on the ria / wealth management graph | DFX Data Factory

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

E••••• W••••• A••••••• L•

CRD 316038

SCOTTSDALE, AZ

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:23d243aa-67a2-f8f8-6603-72e8657404ad

Data as of Aug 4, 2022 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:47 PM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 1
On other graphs: 0
Observed: Jul 29, 2021 to Aug 4, 2022
16 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
Regulatory AUM: $20.7M••• Locked
Discretionary RAUM: $20.7M
Private client RAUM: $20.7Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $6.9Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
P•••••• L•••• K•••••	n/a	SCOTTSDALE, AZ \| South Pasadena, CA	5	23	7	no
P•••• J••• H••••	n/a	SCOTTSDALE, AZ	5	22

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
E••••• I••••••••• H••••••• L••	LIMITED PARTNER	D	yes	07/2021	Jul 29, 2021	Aug 4, 2022
H••••• P••••• J•••	Member	C	yes	07/2021	Jul 29, 2021	Aug 4, 2022

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
D•••• S••••••	n/a	n/a	n/a	Y	no	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
SOUTH PASADENA	CA	United States	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2021	Mar 31, 2022	$20.7M	$20.7M	4	4	1	n/a	n/a

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	0	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
2021	$20.7M	n/a	n/a	n/a	n/a	4	n/a	1	n/a

Relationships

Controls (5)

← K•••••• P••••••• L••••OwnerMEMBER, ownership code C, individual
Jul 29, 2021 to presentfactForm ADV
← H••••• P••••• J•••OwnerMEMBER, ownership code C, individual
Jul 29, 2021 to presentfactForm ADV
← S••••••• D••••• M••••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jul 29, 2021 to presentfactForm ADV
← M•••• J•••••• N••OwnerCHIEF INVESTMENT OFFICER & LIMITED PARTNER, ownership code B, individual
Jul 29, 2021 to presentfact

Dated events

Occurred
Jul 29, 2021
First Form ADV filing
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:23d243aa-67a2-f8f8-6603-72e8657404ad
First observed: Jul 29, 2021
Last observed: Aug 4, 2022 50 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.