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CRD 318024
NEWPORT BEACH, 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 |
|---|---|---|---|---|---|---|
| C••••••••• B••••••• | n/a | NEWPORT BEACH, CA | 1 | 11 | 1 | yes |
| M•••• L••• C•••••••• | Chartered Financial Analyst | NEWPORT BEACH, CA | 1 | 14 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| D•••• D•••• | CHIEF EXECUTIVE OFFICER | Na | yes | 09/2021 | Jun 28, 2022 | Mar 8, 2024 |
| M••••••••• L•••• J•••• | CHIEF FINANCIAL OFFICER | Na | yes | 09/2021 | Mar 28, 2023 | Mar 8, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| T•• W••••••• T•••• C•••••• O• N•••••• I••• | n/a | n/a | n/a | N | yes | n/a |
| W••••••• T•••• C•••••• | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| LOS ANGELES | CA | United States | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 31, 2026 |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 2 | 0 | 2 | 0.0% | 0 | 0 | 0 | 3 | 0 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $1.9B | $1.5B | 28.4% | $289M | 87.2% | 7 | 7 | 2 | 1 |
| no |
| H••••• T••••• M•••• | Chartered Financial Analyst | Los Angeles, CA | 1 | 13 | n/a | no |
| J••••• A•••••• P••••• | n/a | NEWPORT BEACH, CA | 0 | 10 | 1 | yes |
| H••••• B•••••• J••••••• | n/a | NEWPORT BEACH, CA | 0 | 12 | n/a | no |
| M•••••• S•••• A••••••• | n/a | NEWPORT BEACH, CA | 0 | 12 | 1 | yes |
| N•••••• R••• A•••••• | n/a | NEWPORT BEACH, CA | 0 | 10 | n/a | no |
| CHIEF COMPLIANCE OFFICER |
| Na |
| yes |
| 03/2023 |
| Mar 28, 2023 |
| Mar 8, 2024 |
| W••••••• H•••••••• I••• | Owner | E | yes | 09/2021 | Jun 28, 2022 | Mar 8, 2024 |
| M•••••••• T••••••• K••••• | BOARD MEMBER | Na | no | 09/2021 | Jun 28, 2022 | Mar 8, 2024 |
| R•••••• R••••• | CHIEF LEGAL OFFICER | Na | no | 09/2021 | Jun 28, 2022 | Mar 8, 2024 |
| S•••••• J•• C•••• | BOARD MEMBER | Na | no | 09/2021 | Jun 28, 2022 | Mar 8, 2024 |
| $1.9B |
| $1.9B |
| 7 |
| 6 |
| 1 |
| n/a |
| n/a |
| 2024 | Mar 27, 2025 | $1.5B | $1.5B | 7 | 2 | 1 | n/a | n/a |
| 2023 | Mar 8, 2024 | $862M | $862M | 7 | 2 | 1 | n/a | n/a |
| 2022 | Mar 28, 2023 | $289M | $289M | 6 | 2 | 1 | n/a | n/a |