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CRD 327373
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 |
|---|---|---|---|---|---|---|
| MICHAEL Alexander MANOS | Chartered Financial Analyst | SAN DIEGO, CA | SAN MARCOS, CA | 3 | 13 | 1 | no |
| BRETT JAMES UPPER | Chartered Financial Analyst | SAN DIEGO, CA | 3 | 12 | 4 | no |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| MANOS, MICHAEL, Alexander | Principal | C | yes | 07/2023 | Jul 10, 2023 | Apr 11, 2024 |
| UPPER, BRETT, JAMES | PRINCIPAL AND CHIEF COMPLIANCE OFFICER | C | yes | 07/2023 | Jul 10, 2023 | Apr 11, 2024 |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 18, 2026 | $183M | $183M | 2 | 2 | 1 | n/a | n/a |
| 2024 | Jan 22, 2025 | $142M | $142M | 2 | 2 | 1 | n/a | n/a |
| 2023 | Jan 9, 2024 | $123M | $550,000 | 2 | 2 | 0 | n/a | n/a |
| 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 | 0 | 0 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $183M | $142M | 28.9% | n/a | n/a | 2 | 2 | 1 | 1 |