DFX Intelligence

V••• P•••••• W••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

V••• P•••••• W••••• L••

CRD 308575

PASADENA, CA

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Search this name across graphsid dfx:ria:5962b870-8807-1dfc-86b7-0e8d342c242f

Data as of Aug 26, 2020 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:07 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Apr 17, 2020 to Aug 26, 2020
6 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: $28.1M••• Locked
Discretionary RAUM: $28.1M
Private client RAUM: $24.3Mderived••• Locked
Private client share: 87%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor: $28.1Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
G• M••••• A••••	Certified Financial Planner	PASADENA, CA	6	21	3	no

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••• G• M•••••	MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER	E	yes	05/2020	Apr 17, 2020	Aug 26, 2020

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

Relationships

Controls (1)

← A••••• G• M•••••OwnerMANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER, ownership code E, individual
Apr 17, 2020 to presentfactForm ADV

Registered with (1)

← G M••••• A••••Advisorregistration: current employment
May 19, 2020 to presentfactForm ADV

Dated events

Occurred
Apr 17, 2020
First Form ADV filing
V••• P•••••• W••••• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5962b870-8807-1dfc-86b7-0e8d342c242f
First observed: Apr 17, 2020
Last observed: Aug 26, 2020 73 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.