DFX Intelligence

W•••••• O••••• • C••••••: 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 adviserno raum reportedSEC registeredRAUM none

W•••••• O••••• • C••••••

W•••••• O••••• • CO. I•••••••••, CRD 152620

LOS ANGELES, 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:337875c4-f4c2-2c2d-6650-1169a536497e

Data as of Mar 20, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:02 AM UTC and rebuilt at most every 15 minutes.

Relationships: 16
Dated events: 7
On other graphs: 0
Observed: Jan 28, 2021 to Mar 20, 2026
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: no raum reportedderivedprivate_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=11.0
Regulatory AUM: $0••• Locked
Discretionary RAUM: $0
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Employees: 39
Advisory employees: 18
Offices: 5Schedule D 1.F, beyond the principal office

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D••• A••••••• I•••	HOLDING COMPANY	E	yes	01/2010	Jan 28, 2021	Aug 12, 2024
I••••••••• L••	Trustee	F	yes	07/2024	Aug 12, 2024	Aug 12, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
O••••• G••••• A•••••••• I•••	n/a	Other adviser	$402M	N	yes	n/a
O••••• S••••••••• I•••••••••	n/a	n/a	n/a	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
London	n/a	United Kingdom	4	no
NEW YORK	NY	United States	3	no
SAN FRANCISCO	CA	United States	2	no
Chicago	IL	United States	2	no
Boston	Ma	United States

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 20, 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	$0	$0	n/a	n/a	n/a	39	41	5	5

Relationships

Affiliated with (2)

← O••••• G••••• A•••••••• I•••Registered adviserother investment adviser, common control
factForm ADV
→ O••••• G••••• A•••••••• I•••Registered adviserother investment adviser, common control
factForm ADV

Controls (8)

← J•••••••• G••••••• S•••••OwnerCHIEF EXECUTIVE OFFICER, ownership code NA, individual
Jan 28, 2021 to Aug 12, 2024factForm ADV
← M••••••• A••••••••• V•••••Owner

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Aug 7, 2024
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 21, 2024
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 21, 2024
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:337875c4-f4c2-2c2d-6650-1169a536497e
First observed: Jan 28, 2021
Last observed: Mar 20, 2026 6 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.