DFX Intelligence

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

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RIA / WealthRegistered adviserinstitutional managerSEC registeredRAUM 1b 10b

L• C•••••• G••••• L••

CRD 120277

SAN DIEGO, CA

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Search this name across graphsid dfx:ria:64ae8b61-393a-8c6c-8d14-b7ee694181f5

Data as of Mar 24, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:19 AM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 0
On other graphs: 0
Observed: Mar 21, 2012 to Mar 24, 2026
20 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: institutional managerderivedprivate_client_share=0.0 fund_share=0.0 institutional_share=0.94 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $6.1B••• Locked
Discretionary RAUM: $6.1B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 20

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••••• J•••• E•••••	Shareholder	C	yes	09/1988	Mar 21, 2012	Mar 21, 2024
C••••••• J•••• E•••••	MANAGING DIRECTOR	Na	yes	09/1988	Mar 21, 2012	Mar 21, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
L• A••••••• I••	n/a	n/a	n/a	N	no	n/a

Regulatory AUM by fiscal year

••• Locked

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

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$6.1B	$5.8B	5.8%	$4.6B	9.8%	20	22	0	0

Relationships

Affiliated with (1)

← L• A••••••• L••Registered adviserother investment adviser
factForm ADV

Controls (5)

← L• C•••••• M••••••••• I••OwnerHOLDING COMPANY, ownership code E, domestic entity
Mar 21, 2012 to Mar 21, 2024factForm ADV
← G••••••••• T•••••OwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Mar 21, 2012 to Mar 21, 2024factForm ADV
← M•••••• L•••OwnerSHAREHOLDER, ownership code C, individual

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:64ae8b61-393a-8c6c-8d14-b7ee694181f5
First observed: Mar 21, 2012
Last observed: Mar 24, 2026 6 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.