DFX Intelligence

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

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RIA / WealthRegistered adviserstate registeredstate registeredRAUM none

R••• C•••••• P•••••••• L••

CRD 15407

NEWPORT BEACH, CA

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Search this name across graphsid dfx:ria:5dd57548-792b-4b88-6bb0-f63513a9296f

Data as of Aug 29, 2025 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:56 PM UTC and rebuilt at most every 15 minutes.

Relationships: 19
Dated events: 0
On other graphs: 2
Observed: Aug 29, 2025 to Aug 29, 2025
1 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Venture Capitalidentity

R••• C•••••• P•••••••• L••

Venture manager · shared crd

Independent Sponsorsidentity

R••• C•••••• P•••••••• L••

Intermediary · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: state registeredderivedon the IAPD state feed, not SEC-registered
Private client RAUM: $0derived••• Locked
Employees: 10
Advisory employees: 5
Offices: 1Schedule D 1.F, beyond the principal office
Custody, client assets: $0
CRD: 15407
Filings on the tape: 1

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
K•••••• D•••• L•••••••	n/a	NEWPORT BEACH, CA	20	32	n/a	yes
N•••• A••••••	n/a	NEWPORT BEACH, CA	20	31

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
1	0	1	n/a	0	0	0	1	0

Relationships

Affiliated with (4)

← T•• I••••••• M••••••• C•••••• L••Registered adviserother investment adviser, broker-dealer, common control
factForm ADV
← G••••• I•• L••Registered adviserother investment adviser, broker-dealer, pooled vehicle sponsor, common control
factForm ADV
← C•••••• A•••• M••••••••• L••Registered adviserother investment adviser, broker-dealer
factForm ADV
← G••• P••••••• L••Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5dd57548-792b-4b88-6bb0-f63513a9296f
First observed: Aug 29, 2025
Last observed: Aug 29, 2025 13 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.