DFX Intelligence

V•••• M••••••••• I••: registered adviser on the ria / wealth management graph | DFX Data Factory

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

V•••• M••••••••• I••

CRD 106056

MENLO PARK, CA

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Search this name across graphsid dfx:ria:338f7202-f906-5dba-6e0d-a81463d9cdc5

Data as of Mar 30, 2022 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:32 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 1
On other graphs: 0
Observed: Aug 20, 2015 to Mar 30, 2022
13 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: $97.1M••• Locked
Discretionary RAUM: $97.1M
Private client RAUM: $38.5Mderived••• Locked
Private client share: 40%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $48.5Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
D•••• H•••••• L•••••••	Certified Financial Planner	MENLO PARK, CA	3	12	2	no
M••• A•••••••• L•••••••	n/a	MENLO PARK, CA	3	12

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
L•••••••• D••••• H••••••	DIRECTOR & SHAREHOLDER	D	yes	06/2014	Aug 20, 2015	Mar 30, 2022
L•••••••• M•••• A••••••••	PRESIDENT, CHIEF COMPLIANCE OFFICER, DIRECTOR & SHAREHOLDER	D	yes	06/2014	Aug 20, 2015	Mar 30, 2022

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2021

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	$97.1M	$93.8M	3.5%	$114M	-5.2%	8	8	0	0

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
C••••••• P••••••••• L••	2	May 18, 2016	Dec 23, 2015	LOS ALTOS, CA	Team lift out	Other	66.7%

Relationships

Registered with (3)

← M••• A•••••••• L•••••••Advisorregistration: previous registration
Dec 23, 2015 to Feb 9, 2023factForm ADV
← D•••• H•••••• L•••••••Advisorregistration: previous registration
Dec 23, 2015 to Feb 9, 2023factForm ADV
← H••••• P••• S••••Advisorregistration: previous registration
Feb 14, 1992 to Mar 26, 2013factForm ADV

Controls (2)

Dated events

Occurred
Aug 20, 2015
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:338f7202-f906-5dba-6e0d-a81463d9cdc5
First observed: Aug 20, 2015
Last observed: Mar 30, 2022 54 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.