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

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RIA / WealthRegistered adviserno raum reportedSEC registeredRAUM none

E••• W••• W••••• A••••••• L••

CRD 342776

PASADENA, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:5e2852a6-ac3f-b8f9-bf21-8d190b88a918

Data as of Jul 22, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:53 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 1
On other graphs: 0
Observed: Jul 22, 2026 to Jul 22, 2026
1 observations

Right now

one signal names this record (all ria / wealth signals)

#1NewDerived metricAdvisor Recruiting Intelligence

5 advisors left C••••• I••••••••• A••••••• L•• (Pasadena, CA) for E••• W••• W••••• A••••••• L•• within 7 days

Dated 2026-07-29 (filing); first seen by DFX 2026-09-15.

Exposure: exposure unknown
Who this matters to: RIA aggregators, Advisor recruiters +2
Historical: not a measured predictor

E••• W••• W••••• A••••••• L•• · destination firm

Advisor Recruiting IntelligenceJul 29, 2026 · seen 7 days ago

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: no raum reportedderivedprivate_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=3.0
Regulatory AUM: $0Item 5.F on the latest filing (2026-07-22); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 5
Employees: 5
Advisory employees: 0
Offices

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
J•• L••• H••••	n/a	SANTA CLARA, CA \| PASADENA, CA	0	18	6	no
E•••••• S••	n/a	BEVERLY HILLS, CA \| PASADENA, CA	0

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••• C•••••	CHIEF COMPLIANCE OFFICER MANAGING MEMBER	Na	yes	06/2026	Jul 22, 2026	Jul 22, 2026
K•••••• D••••••• P•	President	Na	yes	06/2026	Jul 22, 2026

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
5	0	5	0.0%	5	0	0	5	0

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
C••••• I••••••••• A••••••• L••	5	Jul 29, 2026	Aug 31, 2026	PASADENA, CA	Team lift out	Ibd to new firm	0.0%

Relationships

Registered with (5)

← WEI J•••Advisorregistration: current employment
Aug 31, 2026 to presentfactForm ADV
← C••••••• C••••Advisorregistration: current employment
Aug 5, 2026 to presentfactForm ADV
← E•••••• SHIAdvisorregistration: current employment
Aug 3, 2026 to presentfactForm ADV
← W•••••• R••••• L••••••Advisor

Dated events

Occurred
Jul 29, 2026
Team lift-out
5 advisors left C••••• I••••••••• A••••••• L•• (Pasadena, CA) for E••• W••• W••••• A••••••• L•• within 7 days
Form ADVobserved 7 days ago
5 advisors

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5e2852a6-ac3f-b8f9-bf21-8d190b88a918
First observed: Jul 22, 2026
Last observed: Jul 22, 2026 2 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.