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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

L••• A•••••••

L••• A•••••••, INC., CRD 119540

BEVERLY HILLS, CA

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:264e3cc8-8c18-898d-2d17-11daa7701188

Data as of Jun 11, 2015 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:15 AM UTC and rebuilt at most every 15 minutes.

Relationships: 20
Dated events: 0
On other graphs: 0
Observed: Mar 27, 2012 to Jun 11, 2015
14 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: $1.1BItem 5.F on the latest filing (2015-06-11); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.1B
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
K••••••• G••••••• P•••	PRESIDENT AND CHIEF COMPLIANCE OFFICER	E	yes	05/1999	Mar 27, 2012	Jun 11, 2015
O•••• J••••• J••	MANAGING DIRECTOR, CHIEF OPERATIONS OFFICER & PORTFOLIO MANAGER	Na	yes	02/2009	Mar 27, 2012

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
RANCHO SANTA FE	CA	United States	n/a	no
SAN DIEGO	CA	United States	n/a	no
Broomfield	Co	United States	n/a	no
LAS VEGAS	Nv	United States	n/a	no
NEW YORK	NY

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2014

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2014	$1.1B	$783M	44.6%	$433M	37.7%	27	17	n/a	n/a

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
L•••	7	Jul 22, 2015	Jan 1, 2025	BEVERLY HILLS, CA	Firm absorbed	Other	63.6%
L•••	3	Jul 22, 2015

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
K•• S•••• • A••••••••• I••	2	Jan 30, 2019	Mar 28, 2014	SAN DIEGO, CA	Team lift out	Other	66.7%

Relationships

Controls (4)

← K••••••• G••••••• P•••OwnerPRESIDENT AND CHIEF COMPLIANCE OFFICER, ownership code E, individual
Mar 27, 2012 to presentfactForm ADV
← W••••••••• J••••••• J•••••OwnerSENIOR VICE PRESIDENT, ownership code NA, individual
Mar 27, 2012 to presentfactForm ADV
← O•••• J••••• J••OwnerMANAGING DIRECTOR, CHIEF OPERATIONS OFFICER & PORTFOLIO MANAGER, ownership code NA, individual
Mar 27, 2012 to presentfactForm ADV
← W••••••••• A•••••• L••••••OwnerSENIOR VICE PRESIDENT, ownership code NA, individual
Mar 31, 2015 to present

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:264e3cc8-8c18-898d-2d17-11daa7701188
First observed: Mar 27, 2012
Last observed: Jun 11, 2015 137 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.