DFX Intelligence

S••••••• P•••••• C••••• G••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM none

S••••••• P•••••• C••••• G••••• L••

CRD 134997

NEWPORT BEACH, CA

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 graphs

Data as of Mar 28, 2025 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:06 PM UTC and rebuilt at most every 15 minutes.

Relationships: 36
Dated events: 27
On other graphs: 0
Observed: Jul 24, 2014 to Mar 28, 2025
28 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $0••• Locked
Discretionary RAUM: $0
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Employees: 10
Advisory employees: 6
Offices: 1Schedule D 1.F, beyond the principal office

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••• I• A•• A• L•••	LIMITED PARTNER	D	yes	12/2020	Jan 29, 2021	Aug 30, 2024
A• S••• B••••• L••	DIRECT OWNER	E	yes	12/2020	Jan 29, 2021	Aug 30, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S••••••• A••••••• G••••• L••	n/a	Institutional manager	$38B	N	yes	n/a
S••••••• I•••••••• S•••••••• I•••	n/a	n/a	n/a	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Knoxville	Tn	United States	2	yes

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2024	Mar 28, 2025

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	7	-7	n/a	0	0	0	1	7

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2024	$0	n/a	n/a	n/a	n/a	10	10	1	1

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
C••••• I••••••••• A••••••• L••	2	Dec 9, 2025	Jun 29, 2023	NEWPORT BEACH, CA	Team lift out	Other	28.6%
C••••• I••••••••• A••••••• L••	2	Dec 9, 2025

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
C••••• A•••••• N••••••• L••	3	Jun 29, 2023	Mar 24, 2016	KNOXVILLE, TN	Team lift out	Other	0.8%

Relationships

Affiliated with (2)

← C••••••• P••••••• I••••••••• A•••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ C••••••• P••••••• I••••••••• A•••••••• L••Registered adviserother investment adviser, common control
factForm ADV

Registered with (11)

← J••••••• T•••• U••••Advisorregistration: previous registration
Mar 24, 2016 to Dec 23, 2025factForm ADV
←

Dated events

1 bookkeeping event (roster, classification and holdings changes) folded below

Order

Occurred
23 Dec 2025
Advisor changed firm
••• Locked
Form ADV
Occurred
9 Dec 2025
Advisor changed firm6 events
S••••••• P•••••• C••••• G••••• L••: advisor changed firm, 6 counterparties, on 9 Dec 2025
- ••• Locked
- ••• Locked
- ••• Locked
Occurred
9 Dec 2025
Team lift-out2 events
S••••••• P•••••• C••••• G••••• L••: team lift-out, 2 events, on 9 Dec 2025
2 advisors
- ••• Locked2 advisors
- ••• Locked2 advisors
Occurred
16 Jul 2024
Control person joined
••• Locked
Form ADV
Occurred
16 Jul 2024
Control person left
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jul 24, 2014
Last observed: Mar 28, 2025 18 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.

All 12 rows

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
U••••• J•••••••• T••••	President	Na	yes	02/2015	Jul 24, 2014	Aug 30, 2024
W••••• C••••••••• M••••	CHIEF FINANCIAL OFFICER	Na	yes	04/2024	Mar 28, 2024	Aug 30, 2024