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CRD 324173
WESTLAKE VILLAGE, CA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| M•••••• K• D• L•• | n/a | PARKER DAM, CA | WESTLAKE VILLAGE, CA | 3 | 31 | 7 | yes |
| D••••• N•••• | Certified Financial Planner | WESTLAKE VILLAGE, CA | Thousand Oaks, CA | 2 | 11 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| D• L••• M••••••• K• | Cco | Na | yes | 06/2023 | Jun 2, 2023 | Oct 25, 2024 |
| N••••• D•••••• C••••••••• | MANAGING MEMBER | C | yes | 04/2019 | Jun 2, 2023 | Oct 25, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| H• S••••••••• L•• | n/a | n/a | n/a | Y | no | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| NEWPORT BEACH | CA | United States | 1 | no |
| n/a | n/a | n/a | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Apr 8, 2026 |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 1 | 0 | 1 | 0.0% | 0 | 0 | 0 | 3 | 0 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $343M | $264M | 29.9% | n/a | n/a | 10 | 3 | 5 | 4 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| D•••••• | 2 | Nov 28, 2023 | Oct 12, 2023 | PHOENIX, AZ | Team lift out | RIA to RIA | 2.5% |
| yes |
| J•••• W••••••• | n/a | Homer, AK | WESTLAKE VILLAGE, CA | 2 | 25 | 4 | no |
| T•••• M••••••• E••••••• | n/a | SAN TAN VALLEY, AZ | WESTLAKE VILLAGE, CA | 0 | 31 | 5 | no |
| J•••• S••••• D•••••• | n/a | WESTLAKE VILLAGE, CA | VENTURA, CA | 0 | 11 | n/a | no |
| MANAGING MEMBER |
| E |
| yes |
| 04/2019 |
| Jun 2, 2023 |
| Oct 25, 2024 |
| $343M |
| $343M |
| 8 |
| 4 |
| 4 |
| n/a |
| n/a |
| 2024 | Mar 7, 2025 | $264M | $264M | 3 | 3 | 4 | n/a | n/a |
| 2023 | Feb 29, 2024 | $238M | $238M | 3 | 3 | 4 | n/a | n/a |