DFX Intelligence

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

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RIA / WealthRegistered adviserIndependent wealth managerSEC registeredRAUM 100m 1b

D••••• F••••••••• L••

CRD 286648

SAN DIEGO, CA

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Data as of May 18, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 2:39 AM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 3
On other graphs: 0
Observed: Jul 6, 2021 to May 18, 2026
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: independent wealth managerderived••• Locked
Regulatory AUM: $315M••• Locked
Discretionary RAUM: $315M
Private client RAUM: $275Mderived••• Locked
Private client share: 87%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 5
RAUM per advisor: $62.9Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
T••••• R••••• S••••••	Certified Financial Planner	SAN DIEGO, CA	5	18	4	no
T•••• J••••• A•••••	Certified Financial Planner	SAN DIEGO, CA	5	14

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••••• T••••• J•••••	Member	E	yes	07/2024	Mar 9, 2022	Nov 1, 2024
S••••••• T•••••• R•••••	FOUNDER, CEO, CCO, AND MEMBER	E	yes	02/2017	Jul 6, 2021	Nov 1, 2024

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 26, 2026

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
1	0	1	0.0%	0	0	0	1	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
2025	$315M	$241M	30.3%	$139M	31.2%	7	4	0	0

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
A••••••• P••••••• A•••••••• L••	2	Aug 18, 2017	Apr 17, 2021	LA QUINTA, CA	Team lift out	Other	40.0%

Relationships

Registered with (7)

← M•••••• B•••• H•••••Advisorregistration: current employment
May 18, 2026 to presentfactForm ADV
← C•••••• W•••• S•••••Advisorregistration: current employment
Mar 9, 2026 to presentfactForm ADV
← J••••• A••• R••••••Advisorregistration: current employment
Apr 27, 2023 to presentfactForm ADV
← T••••• R••••• S••••••

Dated events

Order

Occurred
18 May 2026
Ria indirect owner change
••• Locked
Form ADV
Occurred
15 Nov 2022
Advisor changed firm
••• Locked
Form ADV
Occurred
6 Jul 2021
First Form ADV filing
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jul 6, 2021
Last observed: May 18, 2026 4 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.