DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

E•••• R••••• A••••••• L••

CRD 175482

NEW YORK, NY

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Search this name across graphsid dfx:ria:2624800a-010d-5d22-5e97-ac1743a74131

Data as of Mar 16, 2021 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:16 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Mar 16, 2015 to Mar 16, 2021
11 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: $190M••• Locked
Discretionary RAUM: $190M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 32
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D•••••••• A•••••• I••••	Member	E	yes	06/2015	Mar 16, 2015	Mar 16, 2021
D•••••••• A•••••• I••••	CHAIRMAN, CEO	Na	yes	03/2015	Mar 16, 2015	Mar 16, 2021

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A••••• I• D•••••••	n/a	n/a	n/a	Y	no	n/a
E•••• R••••• S••••••• L••	n/a	n/a	n/a	N	yes	n/a
E•••• R••••• S••••••• O• C••••••••• I•••	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Irvine	CA	United States	5	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2020	Mar 16, 2021

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2020	$190M	$349M	-45.7%	$237M	-7.2%	32	35	1	1

Relationships

Controls (4)

← D•••••••• A•••••• I••••OwnerMEMBER, ownership code E, individual
Mar 16, 2015 to presentfactForm ADV
← P•••••• A•••••• R•••OwnerCCO, ownership code NA, individual
Jul 1, 2015 to presentfactForm ADV
← S••••••••• J•••• P••••OwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Mar 23, 2017 to presentfactForm ADV
← E•••• M••••• S••••••• L••OwnerMEMBER, ownership code E, domestic entity
Jul 1, 2015 to presentfact

Dated events

Occurred
Mar 16, 2021
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$-160M
Occurred
Mar 16, 2015
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2624800a-010d-5d22-5e97-ac1743a74131
First observed: Mar 16, 2015
Last observed: Mar 16, 2021 67 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.