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CRD 39914
LOS ANGELES, CA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| T••••• E••••• J•••• | n/a | Irvine, CA | 10 | 33 | 2 | yes |
| V•••• G••• | n/a | Irvine, CA | 10 | 24 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| K••••••••• W•••• L••••• | Finop | Na | yes | 08/2021 | Nov 16, 2021 | Mar 30, 2024 |
| R••••••••• A••••• | Member | F | yes | 11/2021 | Aug 16, 2022 | Mar 30, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| W••••••• C••••••• I••• | n/a | Independent wealth | $53.1M | Y | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Irvine | CA | United States | 13 | yes |
| BOCA RATON | FL | United States | 2 | yes |
| NEW YORK | NY | United States | 1 | yes |
| 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 | 10.0% | 0 | 1 | 0 | 2 | 3 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $53.1M | $47.6M | 11.6% | $35.1M | 14.7% | 11 | 15 | 3 | 3 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| C•••••• C•••••• M••••••••• A•••••••• L•• | 2 | Apr 28, 2020 | Oct 27, 2020 | IRVINE, CA | Team lift out | Other | 22.2% |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| N•••••• C•••• A•••• M••••••••• | 2 | Sep 1, 2016 | Jan 1, 2026 | IRVINE, CA | Team lift out | Other | 50.0% |
| N•••••• C•••• A•••• M••••••••• | 5 | Jul 20, 2016 | Jan 4, 2025 |
| yes |
| V•••• R•••••••• | n/a | BOCA RATON, FL | 7 | 27 | n/a | no |
| D••••• V•••••• J•••• | n/a | NEW YORK, NY | 4 | 41 | 2 | yes |
| D•••• M•••••• E••••• | n/a | Irvine, CA | 1 | 27 | n/a | yes |
| S•••• S•••••• | n/a | Irvine, CA | 1 | 37 | 5 | yes |
| E•••• T••••••• S••••• | n/a | Irvine, CA | 1 | 21 | 3 | yes |
| V•••••• J•••• C•••••••• | n/a | BOCA RATON, FL | 1 | 33 | n/a | yes |
| R•••••• A••• R•••••••• | n/a | LOS ANGELES, CA | 0 | 32 | n/a | yes |
| R•• W••• K•• | n/a | Irvine, CA | 0 | 25 | 4 | yes |
| Shareholder |
| E |
| yes |
| 11/1999 |
| Mar 4, 2021 |
| Mar 30, 2024 |
| B•••••• J•••••• | CHIEF COMPLIANCE OFFICER | Na | no | 07/2023 | Jun 15, 2023 | Mar 30, 2024 |
| R••••••••• R•••••• A••• | CHIEF EXECUTIVE OFFICER | Na | no | 03/2023 | Aug 10, 2016 | Mar 30, 2024 |
| S••••• J•••• S•••• | CHIEF OPERATING OFFICER | Na | no | 04/2011 | Aug 10, 2016 | Mar 30, 2024 |
| $53.1M |
| $47.8M |
| 11 |
| 11 |
| 3 |
| n/a |
| n/a |
| 2024 | Mar 31, 2025 | $47.6M | $47.4M | 15 | 10 | 3 | n/a | n/a |
| 2023 | Mar 28, 2024 | $30.0M | $0 | 17 | 11 | 3 | n/a | n/a |
| 2022 | Mar 8, 2023 | $35.1M | $34.8M | 13 | 12 | 3 | n/a | n/a |
| 2021 | Mar 2, 2022 | $34.6M | $34.4M | 13 | 12 | 3 | n/a | n/a |
| 2020 | Mar 4, 2021 | $27.8M | $22.7M | 15 | 12 | 3 | n/a | n/a |
| 2019 | Mar 31, 2020 | $31.6M | $23.3M | 21 | 20 | 3 | n/a | n/a |
| 2018 | Apr 1, 2019 | $32.8M | $31.0M | 21 | 16 | 3 | n/a | n/a |
| 2017 | Mar 12, 2018 | $31.7M | $29.4M | 22 | 16 | 3 | n/a | n/a |
| 2016 | Mar 31, 2017 | $44.4M | $42.3M | 14 | 5 | n/a | n/a | n/a |
| IRVINE, CA |
| Team lift out |
| Other |
| 31.3% |
| N•••••• C•••• A•••• M••••••••• | 2 | Jul 20, 2016 | Mar 27, 2019 | NEW YORK, NY | Team lift out | Other | 12.5% |
| N•••••• C•••• A•••• M••••••••• I••• | 3 | Apr 6, 2015 | Aug 16, 2016 | IRVINE, CA | Firm absorbed | Other | 60.0% |