DFX Intelligence

F•••••• 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

F•••••• F•••••••• L••

CRD 300122

PASADENA, CA

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Search this name across graphsid dfx:ria:3927c1a5-50fc-17e7-8b10-b57838905451

Data as of Sep 20, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:31 PM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 3
On other graphs: 0
Observed: May 28, 2025 to Sep 20, 2026
9 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 managerderivedprivate_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $233M••• Locked
Discretionary RAUM: $233M
Private client RAUM: $233Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 9
RAUM per advisor: $25.8Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
K•••• D•••• L••	Certified Financial Planner	PASADENA, CA	2	13	n/a	no
N••• B•••••• H•••••	Certified Financial Planner	Fort Lauderdale, FL \| PASADENA, CA	1	12

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 19, 2026	$233M	$233M	8	5	4	n/a	n/a

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
3	0	3	0.0%	0	0	0	4	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	$233M	n/a	n/a	n/a	n/a	13	n/a	10	n/a

Relationships

Registered with (10)

← E•••• G•••• D•••Advisorregistration: current employment
Sep 20, 2026 to presentfactForm ADV
← J••••• A••••• A•••••Advisorregistration: current employment
Aug 31, 2026 to presentfactForm ADV
← J•••••• T•••••• S••••••Advisorregistration: current employment
Aug 24, 2026 to presentfactForm ADV
← M•••••• L•••• Z•••••••

Dated events

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

Occurred
Mar 19, 2026
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$128M
Occurred
Nov 4, 2025
Ria hq relocated
••• Locked
Form ADVobserved today

Show 1 bookkeeping events

Occurred
Sep 20, 2026
••• Locked

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3927c1a5-50fc-17e7-8b10-b57838905451
First observed: May 28, 2025
Last observed: Sep 20, 2026 3 days 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.