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CRD 146132
CORONA, CA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| D•••• L••••••• H••• | n/a | IRVINE, CA | CORONA, CA | 13 | 16 | 3 | no |
| A••••• J••• A••••• | n/a | Santa Barbara, CA | 9 | 18 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| A••••••• R•••• N•• | Member | C | yes | 01/2008 | May 17, 2017 | Nov 25, 2024 |
| M•••••• J••••• P• | CHIEF COMPLIANCE OFFICER | Na | yes | 05/2022 | May 17, 2022 | Nov 25, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| C•• I•••••••• S••••••• I••• | n/a | n/a | n/a | N | yes | n/a |
| C•••• M••••• F•••••••• S••••••• I•• | n/a | n/a | n/a | N | yes | n/a |
| I••••••• W••••• M••••••••• I•••••••• S••••••• C••••••••• |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Roseville | CA | United States | 2 | no |
| SAN DIEGO | CA | United States | 2 | no |
| Escondido | CA | United States | 1 | no |
| Oxnard | CA | United States | 1 | no |
| SANTA BARBARA | CA | United States |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 1 | 1 | 0 | 11.1% | 0 | 0 | 0 | 4 | 3 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $702M | $604M | 16.4% | $353M | 25.8% | 25 | 27 | 5 | 5 |
| no |
| E••••• A•••••• S••• | n/a | Roseville, CA | 9 | 30 | 1 | no |
| R••• N•• A•••••• | n/a | CORONA, CA | 6 | 21 | 1 | no |
| J•••• P• M••••• | n/a | CORONA, CA | 5 | 16 | n/a | no |
| D•••• C•••••••• | n/a | CORONA, CA | 2 | 15 | 2 | no |
| C••••••••• E••••• M••••• | n/a | CORONA, CA | 1 | 25 | 6 | no |
| R•••• N•• R••••• | n/a | CORONA, CA | 0 | 28 | 1 | no |
| A••• S•••••• C•••• | n/a | Scottsdale, AZ | CORONA, CA | 0 | 12 | 2 | no |
| Member |
| C |
| yes |
| 01/2008 |
| May 17, 2017 |
| Nov 25, 2024 |
| S•••• E•••••• A•••••• | Member | C | yes | 07/2008 | May 17, 2017 | Nov 25, 2024 |
| n/a |
| n/a |
| N |
| yes |
| n/a |
| R••••••• F•••••••• • I•••••••• S•••••••• I••• | n/a | n/a | n/a | N | yes | n/a |
| S•••••••• F•••••••• S••••••• I••• | n/a | n/a | n/a | N | yes | n/a |
| W••••••• F•••••••• I••• | n/a | n/a | n/a | N | yes | n/a |
| no |
| $702M |
| $701M |
| 25 |
| 9 |
| 5 |
| n/a |
| n/a |
| 2024 | Mar 26, 2025 | $604M | $537M | 27 | 10 | 5 | n/a | n/a |
| 2023 | Mar 1, 2024 | $455M | $386M | 19 | 8 | 5 | n/a | n/a |
| 2022 | Mar 13, 2023 | $353M | $290M | 18 | 9 | 4 | n/a | n/a |
| 2021 | Mar 22, 2022 | $348M | $281M | 16 | 8 | 4 | n/a | n/a |
| 2020 | Mar 25, 2021 | $303M | $236M | 16 | 8 | 4 | n/a | n/a |
| 2019 | Mar 27, 2020 | $261M | $174M | 14 | 6 | 4 | n/a | n/a |
| 2018 | Mar 13, 2019 | $203M | $118M | 14 | 6 | 4 | n/a | n/a |
| 2017 | Mar 14, 2018 | $174M | $44.9M | 13 | 7 | 4 | n/a | n/a |