DFX Intelligence

Y••• P•••••• C••••• G••••• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

Y••• P•••••• C••••• G••••• I•••

CRD 292621

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Search this name across graphsid dfx:ria:41af0228-7284-1e18-897b-684577cfdb38

Data as of Jul 2, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:05 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 3
On other graphs: 0
Observed: Feb 6, 2018 to Jul 2, 2026
33 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=0.96 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $237M••• Locked
Discretionary RAUM: $237M
Private client RAUM: $227Mderived••• Locked
Private client share: 96%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $118Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
T••• P••••• D••••••••	n/a	Huntington Beach, CA	8	18	2	no
M•••••• E••• D•••••••••	n/a	THOUSAND OAKS, CA	2	10

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D••••••••• T•••• P•••••	CHIEF COMPLIANCE OFFICER & CHIEF FINANCIAL OFFICER	E	yes	02/2018	Feb 6, 2018	Nov 26, 2024
D••••••••• M••••••• E•••	VICE PRESIDENT	B	no	10/2024	Oct 23, 2024	Nov 26, 2024

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

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	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	$237M	$229M	3.5%	$225M	1.7%	2	2	0	0

Relationships

Registered with (2)

← M•••••• E••• D•••••••••Advisorregistration: current employment
Jul 10, 2024 to presentfactForm ADV
← T••• P••••• D••••••••Advisorregistration: current employment
Mar 13, 2018 to presentfactForm ADV

Controls (1)

← D••••••••• T•••• P•••••OwnerCHIEF COMPLIANCE OFFICER & CHIEF FINANCIAL OFFICER, ownership code E, individual
Feb 6, 2018 to Nov 26, 2024factForm ADV

Owns (1)

Dated events

Occurred
Jan 17, 2023
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$-329M
Occurred
Jan 10, 2023
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Feb 6, 2018
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:41af0228-7284-1e18-897b-684577cfdb38
First observed: Feb 6, 2018
Last observed: Jul 2, 2026 2 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.