DFX Intelligence

R••• H••• J•••• • A••••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserother adviserSEC registeredRAUM 1b 10b

R••• H••• J•••• • A••••••••• L••

CRD 125410

SAN DIEGO, CA

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Search this name across graphsid dfx:ria:5601c3c9-70b5-f1eb-5df5-527072c10aca

Data as of May 6, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:18 PM UTC and rebuilt at most every 15 minutes.

Relationships: 19
Dated events: 16
On other graphs: 0
Observed: Mar 29, 2012 to May 6, 2026
27 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=0.2 fund_share=0.31 institutional_share=0.36 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $1.7B••• Locked
Discretionary RAUM: $1.7B
Private client RAUM: $346Mderived••• Locked
Private client share: 20%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 5
RAUM per advisor: $348Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
T•••••• A••• T•••••	Chartered Financial Analyst	SAN DIEGO, CA	23	33	1	no
G••• S•••••• R•••	n/a	SAN DIEGO , CA	16	43

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
R•• P••••• F•••• L•••	Hedge Fund	$15.9M	Mar 29, 2012	17	Mar 29, 2012	dropped	021-109042

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••••••• T••••••••• N•••••	MANAGING MEMBER, CHIEF OPERATING OFFICER, PRESIDENT	B	yes	06/2009	Mar 29, 2012	Mar 28, 2024
H••••• L••••• M••••••	MANAGING MEMBER, CHIEF INVESTMENT OFFICER, PORTFOLIO MANAGER	A	yes	10/2018	Mar 29, 2019	Mar 28, 2024

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Pasadena	CA	United States	5	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	1	-1	20.0%	0	1	0	0	1

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	$1.7B	$1.8B	-2.0%	$1.8B	-1.2%	23	25	1	1

Relationships

Registered with (8)

← L•••• M•••••• H••••Advisorregistration: current employment
May 18, 2011 to presentfactForm ADV
← A••••• H••••• S•••Advisorregistration: current employment
Oct 21, 2010 to presentfactForm ADV
← T••••••••• N••••• B•••••••Advisorregistration: previous registration
Mar 28, 2003 to Nov 13, 2007factForm ADV
← G••• S•••••• R•••

Dated events

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

Occurred
Jul 8, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
May 6, 2026
Ria principal change
••• Locked
Form ADVobserved today
Occurred
May 6, 2026
Ria principal change
••• Locked
Form ADVobserved today

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5601c3c9-70b5-f1eb-5df5-527072c10aca
First observed: Mar 29, 2012
Last observed: May 6, 2026 4 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.