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Reading the graph
CRD 106075
IRVINE, 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 |
|---|---|---|---|---|---|---|
| NEIL CHRISTOPHER AMOR | Chartered Financial Analyst | IRVINE, CA | 23 | 29 | n/a | no |
| BENJAMIN DARROW THORNHILL | Certified Financial Planner | IRVINE, CA | 22 | 32 | n/a | no |
| JOHN AVAK HAKOPIAN | n/a | IRVINE, CA | 12 | 36 | 1 | no |
| MARK DAVID STUART ARBLASTER | Certified Financial Planner | IRVINE, CA | 12 | 30 | n/a | no |
| JENNIFER KATHRYN CAGLE | Certified Financial Planner | IRVINE, CA | 12 | 33 | n/a | no |
| ROGER BRUCE PALLEY | Chartered Financial Analyst | IRVINE, CA | 12 | 35 | 2 | no |
| LINDSEY ANN HESS | Certified Financial Planner | IRVINE, CA | 10 | 14 | n/a | no |
| JOSEPH ANTHONY RASZEWSKI | n/a | IRVINE, CA | 9 | 11 | n/a | no |
| MICHELLE BAO-CHIEU NGUYEN | Certified Financial Planner | LOS ANGELES, CA | 5 | 18 | n/a | no |
| ARA MOSES ABAJIAN | Chartered Financial Analyst | IRVINE, CA | 4 | 25 | n/a | no |
| WILLIAM BRYANT PIERREPONT | n/a | LOS ANGELES, CA | 3 | 10 | n/a | no |
| STEPHEN J WIECHERT | Certified Financial Planner | IRVINE, CA | 2 | 14 | n/a | no |
| ANDREA HELENE MATOLO | Chartered Financial Analyst | IRVINE, CA | 1 | 20 | 2 | no |
| CALVIN TEKEIM JONES | Chartered Financial Analyst | HONOLULU, HI | 1 | 15 | n/a | no |
| MARC TOMANENG COSICO | n/a | IRVINE, CA | 1 | 29 | 2 | no |
| ROGER SANFORD STINNETT | Certified Financial Planner|Personal Financial Specialist | IRVINE, CA | 1 | 24 | 4 | no |
| ERIC H SPERON | Chartered Financial Analyst | IRVINE, CA | 1 | 23 | n/a | no |
| RACHEL COSTA RIBEIRO | Certified Financial Planner | IRVINE, CA | 1 | 18 | n/a | no |
| RICARDO COSTA RIBEIRO | Certified Financial Planner | IRVINE, CA | 1 | 13 | n/a | no |
| PAUL EDWARD MILLER | n/a | LOS ANGELES, CA | 0 | 31 | 1 | no |
| Robert James Roche | n/a | IRVINE, CA | 0 | 13 | 5 | no |
| Ekaterina A. Nuce | n/a | Irvine, CA | 0 | 10 | n/a | no |
| KARUNA TEJPAUL | n/a | IRVINE, CA | 0 | 22 | 3 | no |
| WILLIAM KEITH ARECHIGA | Chartered Financial Analyst | IRVINE, CA | 0 | 14 | n/a | no |
| ERIC MICHAEL MICHELI | Chartered Financial Analyst | Denver, CO | 0 | 13 | 2 | no |
| Fund | Type | Reported GAV | As of | Owners | First reported | Status | Form D file |
|---|---|---|---|---|---|---|---|
| THE KELLER LATE STAGE VC FUND LP | Venture Capital Fund | $33,503 | Apr 6, 2022 | 30 | Mar 30, 2012 | dropped | 021-186611 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| HAKOPIAN, JOHN, AVAK | PRESIDENT/CHIEF INVESTMENT OFFICER | Na | yes | 06/2009 | Jul 29, 2026 | Jul 29, 2026 |
| Roche, Robert, James | CHIEF COMPLIANCE OFFICER OWNERSHIP | Na | yes | 10/2025 | Jul 29, 2026 | Jul 29, 2026 |
| BRITTON, JAMES, MICHAEL | CHIEF FINANCIAL OFFICER | Na | yes | 08/2023 | Nov 1, 2023 | Oct 29, 2024 |
| BRUCE, GREGORY, STEVEN | CHIEF COMPLIANCE OFFICER | Na | yes | 01/2004 | Mar 30, 2012 | Oct 29, 2024 |
| CHAN, ANDREW, HAO EN | CO-CHIEF INVESTMENT OFFICER | Na | yes | 04/2023 | May 1, 2023 | Oct 29, 2024 |
| FIRST FOUNDATION INC. | 100% STOCK OWNERSHIP | E | yes | 06/2007 | Mar 30, 2012 | Oct 29, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| FIRST FOUNDATION BANK | n/a | n/a | n/a | N | yes | CA |
| FIRST FOUNDATION INSURANCE SERVICES | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| LOS ANGELES | CA | United States | 6 | no |
| INDIAN WELLS | CA | United States | 1 | no |
| Oakland | CA | United States | 1 | no |
| PALOS VERDES ESTATES | CA | United States | 1 | no |
| Pasadena | CA | United States | 1 | no |
| ROLLING HILLS ESTATES | CA | United States | 1 | no |
| SAN DIEGO | CA | United States | 1 | no |
| Naples | FL | United States | 1 | no |
| Honolulu | Hi | United States | 1 | no |
| LAS VEGAS | Nv | United States | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Apr 28, 2026 | $5.1B | $5.0B | 53 | 25 | 10 | n/a | n/a |
| 2024 | Apr 1, 2025 | $5.4B | $5.4B | 62 | 33 | 10 | n/a | n/a |
| 2023 | Mar 27, 2024 | $5.2B | $5.2B | 67 | 36 | 10 | n/a | n/a |
| 2022 | Mar 29, 2023 | $5.0B | $4.9B | 69 | 40 | 17 | n/a | n/a |
| 2021 | Mar 30, 2022 | $5.7B | $5.6B | 66 | 34 | 9 | 1 | $33,503 |
| 2020 | Mar 30, 2021 | $4.9B | $4.8B | 63 | 35 | 9 | 1 | $966,509 |
| 2019 | Mar 26, 2020 | $4.4B | $4.3B | 69 | 40 | 9 | 1 | $1.0M |
| 2018 | Mar 22, 2019 | $3.9B | $3.8B | 66 | 38 | 9 | 1 | $1.9M |
| 2017 | Apr 2, 2018 | $4.3B | $4.2B | 64 | 35 | 7 | 1 | $3.4M |
| 2016 | Mar 31, 2017 | $3.6B | $3.5B | 63 | 33 | n/a | 1 | $3.4M |
| 2015 | Mar 30, 2016 | $3.5B | $3.4B | 63 | 35 | n/a | 1 | $4.4M |
| 2014 | Mar 30, 2015 | $3.2B | $3.1B | 56 | 46 | n/a | 1 | $5.0M |
| 2013 | Mar 21, 2014 | $2.6B | $2.5B | 58 | 42 | n/a | 1 | $5.9M |
| 2012 | Mar 28, 2013 | $2.2B | $2.2B | 52 | 34 | n/a | 1 | $7.1M |
| 2011 | Mar 30, 2012 | $1.8B | $1.8B | n/a | n/a | n/a | 1 | $8.9M |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 7 | 4 | 3 | 13.8% | 4 | 0 | 0 | 11 | 14 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $5.1B | $5.4B | -7.0% | $5.0B | 0.5% | 57 | 62 | 11 | 10 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| CERITY PARTNERS LLC | 2 | Sep 4, 2024 | Sep 11, 2024 | IRVINE, CA | Team lift out | RIA to RIA | 8.7% |
| Lido | 2 | Jun 26, 2023 | Jun 13, 2023 | LOS ANGELES, CA | Team lift out | RIA to RIA | 8.0% |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| SUNFLOWER WEALTH ADVISORS LLC | 2 | Jul 17, 2026 | Jul 20, 2026 | GREENWOOD VILLAGE, CO | Team lift out | Other | 100.0% |
| RBC SECURITIES, INC. | 2 | Oct 30, 2015 | Nov 25, 2015 | LOS ANGELES, CA | Team lift out | Other | 4.8% |