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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

D• G••••• F•••••••• G••••• L••

CRD 168178

THOUSAND OAKS, CA

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Search this name across graphsid dfx:ria:3fd8fb47-dee8-a592-9198-54d723da044a

Data as of May 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:23 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 8
On other graphs: 1
Observed: Jul 15, 2013 to May 27, 2026
42 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

D• G••••• F•••••••• G••••• L••

Intermediary · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.73 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $1.2B••• Locked
Discretionary RAUM: $1.2B
Private client RAUM: $884Mderived••• Locked
Private client share: 73%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $608Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
D•••••• C•••• D• G•••••	Certified Financial Planner	THOUSAND OAKS, CA	13	29	3	no
B•••• J••• L••••	n/a	THOUSAND OAKS, CA \| Newport Beach, CA	2	29

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••• F•••• M••••••	CHIEF COMPLIANCE OFFICER & CHIEF OPERATIONS OFFICER	Na	yes	03/2019	Mar 27, 2019	Feb 29, 2024
D•••••••• D••••••• C••••	MANAGING MEMBER	E	yes	08/2013	Sep 4, 2013	Feb 29, 2024

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
NEWPORT BEACH	CA	United States	1	no

Regulatory AUM by fiscal year

••• Locked

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

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	1	-1	50.0%	0	0	0	1	2

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	$1.2B	$751M	62.0%	$583M	27.8%	9	8	1	1

Relationships

Registered with (4)

← B•••• J••• L••••Advisorregistration: current employment
Oct 3, 2023 to presentfactForm ADV
← D•••••• C•••• D• G•••••Advisorregistration: current employment
Sep 5, 2013 to presentfactForm ADV
← William H LymanAdvisorregistration: previous registration
Nov 4, 2025 to May 20, 2026factForm ADV
← ANDREW PAUL KROUT

Dated events

Occurred
May 20, 2026
Advisor changed firm
William H Lyman left D• G••••• F•••••••• G••••• L•• for J.P. Morgan Securities Llc (registered 2026-07-13)
Form ADVobserved 7 days ago
Occurred
Mar 13, 2026
Regulatory AUM changed
D• G••••• F•••••••• G••••• L•• reported RAUM $1.2B, up 62% from $750.6M (2025-10-23 to 2026-03-13)
Form ADVobserved 7 days ago
$465M
Occurred
Feb 29, 2024
Control person left
Paul Andrew Krout (Chief Investment Officer) no longer on Schedule A of D• G••••• F•••••••• G••••• L•• (listed 2023-10-03, absent 2024-02-29)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3fd8fb47-dee8-a592-9198-54d723da044a
First observed: Jul 15, 2013
Last observed: May 27, 2026 3 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.