DFX Intelligence
Reading the graph
Reading the graph
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
CRD 107287
SAN DIEGO, 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 |
|---|---|---|---|---|---|---|
| M••••• D•••• C•••••• | Chartered Financial Analyst | SAN DIEGO, CA | 23 | 35 | n/a | no |
| J••••• S•••••• | Chartered Financial Analyst | SAN DIEGO, CA | 21 | 10 | n/a |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| C••••••• M•••••• D•••• | SHAREHOLDER/CFO | C | yes | 01/2024 | Mar 13, 2012 | Oct 1, 2024 |
| C••••••• M•••••• D•••• | CFO AND CORPORATE ADVISOR | Na | yes | 01/2023 | Mar 13, 2012 | Oct 1, 2024 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Denver | Co | United States | 3 | no |
| Oakland | CA | United States | 2 | no |
| Novato | CA | United States | 1 | no |
| Ventura | CA | United States | 1 | no |
| LAKE MARY | FL | United States |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 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 | 6 | 1 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $45B | $42B | 9.0% | $29B | 16.5% | 54 | 52 | 6 | 6 |
| no |
| W•••••• D•••••• | Chartered Financial Analyst | SAN DIEGO, CA | 15 | 32 | n/a | no |
| S•••• D•••• P••••••• | n/a | Seattle, WA | 12 | 32 | 2 | no |
| G•••••••• C•••••• L••••••••• | Chartered Financial Analyst | SAN DIEGO, CA | 10 | 24 | n/a | no |
| C••••• M••••• O•••••• M•••••• | n/a | San Diego, CA | 9 | 11 | n/a | yes |
| A•••• P• M••••• | n/a | Walnut Creek, CA | 6 | 11 | n/a | yes |
| D••••• J••••• D•••••• | Chartered Financial Analyst | SAN DIEGO, CA | 5 | 13 | n/a | no |
| A••••• M•••• S•••••• | n/a | SAN DIEGO, CA | 4 | 24 | n/a | no |
| K••• L•• H•••• | n/a | SAN DIEGO, CA | 4 | 14 | n/a | no |
| K••• O••• M••• | n/a | SAN DIEGO, CA | 3 | 18 | n/a | no |
| M•••••• T••••• R•••••••• | n/a | SAN DIEGO, CA | 3 | 10 | 3 | yes |
| J••• C•••• M••••••• | Chartered Financial Analyst | SAN DIEGO, CA | 3 | 20 | n/a | no |
| J•••• A•••• N••• | Chartered Financial Analyst | SAN DIEGO, CA | 2 | 11 | 1 | no |
| K••• H•••• P•••• | n/a | Denver, CO | SAN DIEGO, CA | 1 | 22 | 1 | no |
| C••••••••• K•••• B•••••••• | n/a | SAN DIEGO, CA | Denver, CO | 1 | 23 | 1 | yes |
| R••• I•••••• W••••••• | Chartered Financial Analyst | SAN DIEGO, CA | 1 | 19 | 4 | no |
| D••••• S•••• S••••••• | Chartered Financial Analyst | Roswell, GA | SAN DIEGO, CA | 1 | 29 | 1 | yes |
| S••••• E••• H•••••• | n/a | SAN DIEGO, CA | 1 | 17 | 1 | no |
| J•••• E••• W••••••• | Chartered Financial Analyst | SAN DIEGO, CA | 0 | 10 | n/a | no |
| N••••• M•••• D••••• | n/a | SAN DIEGO, CA | 0 | 24 | n/a | yes |
| Shareholder |
| D |
| yes |
| 01/2024 |
| Jul 27, 2017 |
| Oct 1, 2024 |
| C••••••• I••••••• S•••••••• I••• | Shareholder | E | yes | 01/2024 | Feb 1, 2024 | Oct 1, 2024 |
| D•••••• N•••••• M•••• | CHIEF EXECUTIVE OFFICER | Na | yes | 01/2023 | Mar 13, 2012 | Oct 1, 2024 |
| R••••••••• M••••••• T••••• | CHIEF COMPLIANCE OFFICER | Na | yes | 04/2023 | Apr 3, 2023 | Oct 1, 2024 |
| S••••••• J••••• | CO-CHIEF INVESTMENT OFFICER | Na | yes | 01/2022 | Mar 13, 2012 | Oct 1, 2024 |
| D••••••• W•••••• | CO-CHIEF INVESTMENT OFFICER | Na | no | 01/2022 | Mar 30, 2021 | Oct 1, 2024 |
| P•••••••• S••••• D•••• | CO-CHIEF INVESTMENT OFFICER | Na | no | 01/2022 | Mar 30, 2021 | Oct 1, 2024 |
| P•••••• F•••••••• S••••••• | Trustee | F | no | 10/2021 | Jan 2, 2022 | Oct 1, 2024 |
| T•••••• R•••• E••••• | MANAGING DIRECTOR OF BUSINESS DEVELOPMENT | Na | no | 07/2020 | Mar 30, 2021 | Oct 1, 2024 |
| no |
| Seattle | Wa | United States | 1 | no |
| Mar 25, 2026 |
| $45B |
| $38B |
| 54 |
| 20 |
| 6 |
| n/a |
| n/a |
| 2024 | Apr 29, 2025 | $42B | $34B | 52 | 18 | 6 | n/a | n/a |
| 2023 | Feb 2, 2024 | $36B | $30B | 45 | 16 | 6 | n/a | n/a |
| 2022 | Jan 27, 2023 | $29B | $24B | 42 | 17 | 6 | n/a | n/a |
| 2021 | Mar 29, 2022 | $26B | $22B | 37 | 16 | 6 | n/a | n/a |
| 2020 | Mar 30, 2021 | $22B | $19B | 32 | 15 | 6 | n/a | n/a |
| 2019 | Mar 9, 2020 | $20B | $16B | 31 | 15 | 4 | n/a | n/a |
| 2018 | Mar 5, 2019 | $17B | $14B | 30 | 16 | 5 | n/a | n/a |
| 2017 | Mar 7, 2018 | $14B | $12B | 30 | 16 | 5 | n/a | n/a |
| 2016 | Mar 24, 2017 | $13B | $11B | 30 | 16 | n/a | n/a | n/a |
| 2015 | Mar 15, 2016 | $12B | $10B | 29 | 15 | n/a | n/a | n/a |
| 2014 | Mar 18, 2015 | $8.9B | $8.2B | 28 | 14 | n/a | n/a | n/a |
| 2013 | Mar 25, 2014 | $7.0B | $6.4B | 23 | 7 | n/a | n/a | n/a |
| 2012 | Mar 6, 2013 | $6.4B | $5.8B | 20 | 7 | n/a | n/a | n/a |
| 2011 | Mar 13, 2012 | $5.9B | $5.2B | n/a | n/a | n/a | n/a | n/a |