DFX Intelligence

Q•••••••• P••• A•••••••• 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

Q•••••••• P••• A•••••••• L••

CRD 135324

COSTA MESA, CA

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Search this name across graphsid dfx:ria:65099fb5-4460-ee1c-c516-55b6c8419167

Data as of Feb 13, 2012 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:25 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 0
On other graphs: 0
Observed: Nov 7, 2011 to Feb 13, 2012
10 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: $65.0M••• Locked
Discretionary RAUM: $0
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor: $65.0Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
D•••• S•••• C•••••••	n/a	COSTA MESA, CA	1	30	1	no

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••••••• D••••• S••••	PRESIDENT, CHIEF COMPLIANCE OFFICER	E	yes	01/2006	Nov 7, 2011	Feb 13, 2012

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	1	0

Relationships

Registered with (1)

← D•••• S•••• C•••••••Advisorregistration: current employment
Sep 12, 2025 to presentfactForm ADV

Controls (1)

← C•••••••• D••••• S••••OwnerPRESIDENT, CHIEF COMPLIANCE OFFICER, ownership code E, individual
Nov 7, 2011 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:65099fb5-4460-ee1c-c516-55b6c8419167
First observed: Nov 7, 2011
Last observed: Feb 13, 2012 177 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.