DFX Intelligence

A•••••••• C•••••• B•••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserother adviserSEC registeredRAUM 1b 10b

A•••••••• C•••••• B•••••• L••

CRD 173198

B•••••, MA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:4d039e32-5748-60e9-4766-47b9bd00c3b8

Data as of Mar 20, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:15 PM UTC and rebuilt at most every 15 minutes.

Relationships: 32
Dated events: 17
On other graphs: 0
Observed: Sep 17, 2014 to Mar 20, 2026
21 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: other adviserderivedprivate_client_share=0.02 fund_share=0.5 institutional_share=0.48 related_bd=false related_bank=false bd_reps=1.0
Regulatory AUM: $1.8B••• Locked
Discretionary RAUM: $1.8B
Private client RAUM: $27.6Mderived••• Locked
Private client share: 2%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $916Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
D•••• M•••••• A••••	Chartered Financial Analyst	B•••••, MA	10	19	1	no
J••• M••••••••	Chartered Financial Analyst	B•••••, MA	10	19	1

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••• D••••• M••••••	OWNER, CHIEF EXECUTIVE OFFICER, PORTFOLIO M••••••	B	yes	01/2015	Jan 14, 2015	Mar 15, 2024
A•••••••• C•••••• M••••••••• L••	Owner	D	yes	10/2014	Sep 17, 2014	Mar 15, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A•••••••• C•••••• M••••••••• L••	n/a	Other adviser	$44B	Y	yes	n/a
A•••••••• I••••••••• S•••••••• L••	n/a	ASSET_M••••••	$17B	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
NEWPORT BEACH	CA	United States	5	no
LOS ANGELES	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	0	0	0.0%	0	0	0	0	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	$1.8B	$2.7B	-32.6%	$3.3B	-17.4%	9	9	2	2

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
E•••• B••••• I••••••••• M••••••••• I•••	2	Jan 12, 2015	Jun 20, 2016	B•••••, MA	Team lift out	Other	100.0%

Relationships

Affiliated with (12)

← A•••••••• C•••••• M••••••••• L••Registered adviserother investment adviser, pooled vehicle sponsor, control, common control
factForm ADV
← A•••••••• P•••••• C••••••• L••Registered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
← A•••••••• I••••••••• S•••••••• L••Registered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
← A•• A•••• D••••••••• I• L•

Dated events

4 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Mar 20, 2026
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$-886M
Occurred
Mar 20, 2026
Ria indirect owner change
••• Locked
Form ADVobserved today
Occurred
Mar 20, 2026
Ria indirect owner change
••• Locked
Form ADVobserved today

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4d039e32-5748-60e9-4766-47b9bd00c3b8
First observed: Sep 17, 2014
Last observed: Mar 20, 2026 6 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.

Controls (17)

← L•••••••• G•••• W••••OwnerOWNER, SENIOR PARTNER, ownership code NA, individual
Jan 14, 2015 to Mar 15, 2024factForm ADV
← A•••••••• C•••••• M••••••••• L••OwnerOWNER, ownership code D, domestic entity
Sep 17, 2014 to Mar 15, 2024factForm ADV
← S•••••••• N••••• J•••••••OwnerOWNER, MANAGING DIRECTOR, CHIEF RISK OFFICER, ownership code NA, individual
Sep 28, 2017 to Mar 15, 2024factForm ADV
← S••••••••• R••••••• H•••••OwnerOWNER,SENIOR PARTNER, ownership code NA, individual
Jan 14, 2015 to Mar 15, 2024factForm ADV
← W•••••• R•••••• R•••OwnerOWNER, CHIEF INNOVATION OFFICER, ownership code NA, individual
Mar 15, 2024 to Mar 15, 2024factForm ADV
← A••••• D••••• M••••••OwnerOWNER, CHIEF EXECUTIVE OFFICER, PORTFOLIO M••••••, ownership code B, individual
Jan 14, 2015 to Mar 15, 2024factForm ADV
← B••••• M•••• B••••••OwnerOWNER, SENIOR RESEARCH ANALYST, ownership code A, individual
Mar 28, 2016 to Mar 15, 2024factForm ADV
← G••••• M•••••••• M•••••••OwnerOWNER, CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Sep 17, 2014 to Mar 15, 2024factForm ADV
← M••••••••• J•••OwnerOWNER, PRESIDENT, PORTFOLIO M••••••, ownership code B, individual
Jan 14, 2015 to Mar 15, 2024factForm ADV
← S• H••••••• K••• M••••OwnerOWNER, MANAGING DIRECTOR, OPERATIONS & TRADING, ownership code NA, individual
Mar 15, 2024 to Mar 15, 2024factForm ADV
← S••••• J••••••• S••••OwnerOWNER, SENIOR RESEARCH ANALYST, ownership code A, individual
Mar 28, 2016 to Mar 15, 2024factForm ADV
← H••••••••• J•••••••••OwnerTRUSTEE, ownership code F, individual
Sep 17, 2014 to Mar 15, 2024factForm ADV
← H••••••••• R••••••• S••••OwnerTRUSTEE, ownership code F, individual
Sep 17, 2014 to Mar 15, 2024factForm ADV
← C••••••••• S•••• S••••OwnerOWNER, CHIEF ADMINISTRATIVE OFFICER, ownership code NA, individual
Mar 15, 2024 to Mar 15, 2024factForm ADV
← Q•••• J•••• A•••••OwnerOWNER, MANAGING DIRECTOR, CHIEF TECHNOLOGY OFFICER, ownership code NA, individual
Mar 15, 2024 to Mar 15, 2024factForm ADV
← M••••••••• L••OwnerOWNER/MANAGING MEMBER, ownership code C, domestic entity
Sep 17, 2014 to Mar 15, 2024factForm ADV
← R•••••• H•••••••• A•• J••••••••• H•••••••• T••• O• T•• H•••••••• F••••• T•••• D•••• 1•••••••OwnerOWNER/MANAGING MEMBER, ownership code E, domestic entity
Sep 17, 2014 to Mar 15, 2024factForm ADV