DFX Intelligence

T•••••• M••••••••• G•••• I••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

T•••••• M••••••••• G•••• I••

CRD 111051

ANAHEIM HILLS, CA

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Search this name across graphsid dfx:ria:66919517-2731-3ca6-d77b-f7011453c07d

Data as of Mar 30, 2022 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:00 AM UTC and rebuilt at most every 15 minutes.

Relationships: 15
Dated events: 1
On other graphs: 2
Observed: Mar 31, 2012 to Mar 30, 2022
16 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Allocatorsidentity

T•••••• M••••••••• G•••• I••

Investment consultant · shared crd

Private Creditidentity

T•••••• M••••••••• G•••• I••

Private credit manager · shared crd

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: $505M••• Locked
Discretionary RAUM: $505M
Private client RAUM: $307Mderived••• Locked
Private client share: 61%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 9
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
T•••••• M••••••• F•••• L•••	Other Private Fund	$65.0M	Apr 1, 2015	260	Mar 31, 2012	dropped	021-157580
H••• M••••••• F•••• L•••	Other Private Fund	$16.6M	Apr 1, 2015

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
T••••••• D•••• C•••••••••	PRESIDENT,SECRETARY,TREASURER,DIRECTOR	E	yes	02/1987	Mar 31, 2012	Mar 30, 2022
P•••••• N••••• J•••• F••••	CHIEF COMPLIANCE OFFICER	Na	no	07/2020	Jul 28, 2020	Mar 30, 2022

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
T•••••• F•••••••• S•••••••• I•••	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2021

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2021	$505M	$495M	2.1%	$383M	9.7%	9	10	0	0

Relationships

Advises (11)

→ P••• G•••••• L•••Private fundOther Private Fund, IA
Mar 31, 2012 to presentfactForm ADV
→ S••••• F•••• I•••••• L•••Private fundOther Private Fund, IA
Mar 31, 2012 to presentfactForm ADV
→ C••••• E•••••••• L•••Private fundOther Private Fund, IA, no longer reported
Mar 31, 2012 to Mar 30, 2016factForm ADV
→ H••• M••••••• F•••• L•••

Dated events

Occurred
Jun 29, 2022
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:66919517-2731-3ca6-d77b-f7011453c07d
First observed: Mar 31, 2012
Last observed: Mar 30, 2022 54 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.