DFX Intelligence

T•• O••• I••••••••• M••••••••• 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

T•• O••• I••••••••• M••••••••• L••

CRD 157874

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Search this name across graphsid dfx:ria:59ca7983-7de3-2e06-c4f8-dc76e5cbfbda

Data as of Feb 17, 2021 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:26 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Feb 13, 2012 to Feb 17, 2021
12 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: $29.1M••• Locked
Discretionary RAUM: $29.1M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 2
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
P••••• J••••••• J••••	OWNER, ELECTED MEMBER, CHIEF COMPLIANCE OFFICER	B	yes	08/2010	Feb 13, 2012	Feb 17, 2021
T•••• B••••• T••••••	OWNER, ELECTED MEMBER, CHIEF EXECUTIVE OFFICER	E	yes	08/2010	Feb 13, 2012	Feb 17, 2021

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2020

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2020	$29.1M	$28.4M	2.5%	$28.9M	0.2%	2	2	0	0

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
C•••••• W••••• • C••	2	May 13, 2021	Nov 4, 2013	CLOVIS, CA	Team lift out	Other	100.0%

Relationships

Controls (2)

← P••••• J••••••• J••••OwnerOWNER, ELECTED MEMBER, CHIEF COMPLIANCE OFFICER, ownership code B, individual
Feb 13, 2012 to presentfactForm ADV
← T•••• B••••• T••••••OwnerOWNER, ELECTED MEMBER, CHIEF EXECUTIVE OFFICER, ownership code E, individual
Feb 13, 2012 to presentfactForm ADV

Affiliated with (2)

← C•••••• W••••• • C••Registered adviserother investment adviser
factForm ADV
← C••••••• W••••• • C••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:59ca7983-7de3-2e06-c4f8-dc76e5cbfbda
First observed: Feb 13, 2012
Last observed: Feb 17, 2021 68 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.