DFX Intelligence

A•••••• F••••• O•••••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserbank affiliated wealth managerSEC registeredRAUM 100m 1b

A•••••• F••••• O•••••

A•••••• F••••• O•••••, LLC, CRD 338266

SANTA MONICA, CA

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Search this name across graphsid dfx:ria:6afc15ed-5959-3d0c-62c4-214fe81fa94e

Data as of Aug 26, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:05 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 1
On other graphs: 1
Observed: Jan 6, 2026 to Aug 26, 2026
4 observations

Across DFX

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

Family Officesidentity

A•••••• F••••• O•••••

Family office · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: bank affiliated wealth managerderivedprivate_client_share=0.79 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=true bd_reps=0.0
Regulatory AUM: $182M••• Locked
Discretionary RAUM: $49.0M
Private client RAUM: $143Mderived••• Locked
Private client share: 79%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $60.7Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
A••• B•••• S••••	n/a	SNOWMASS, CO \| SANTA MONICA, CA	0	33	1	no
J•••• R••••• O••••••	n/a	SANTA MONICA, CA	0	26

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••••• W••••• M••••••••• L••	Owner	D	yes	09/2025	Aug 26, 2026	Aug 26, 2026
L••••••• E•••••• J•••	CHIEF COMPLIANCE OFFICER	Na	yes	09/2025	Aug 26, 2026	Aug 26, 2026

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Jan 6, 2026	$0	$0	4	2	2	n/a	n/a

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
3	0	3	0.0%	0	0	0	3	0

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	$182M	n/a	n/a	n/a	n/a	5	n/a	3	n/a

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
X• C•••••• L••	2	Jun 16, 2026	Jun 3, 2026	LOS A••••••, CA	Team lift out	RIA to RIA	100.0%

Relationships

Controls (4)

← A•••••• W••••• M••••••••• L••OwnerOWNER, ownership code D, domestic entity
Aug 26, 2026 to presentfactForm ADV
← S••••• A•••• B••••OwnerOWNER, ownership code C, individual
Aug 26, 2026 to presentfactForm ADV
← L••••••• E•••••• J•••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Aug 26, 2026 to presentfactForm ADV
← O••••••• J••••• R•••••OwnerOWNER, ownership code C, individual
Aug 26, 2026 to presentfact

Dated events

Occurred
Jun 16, 2026
Team lift-out
2 advisors left X• C•••••• L•• (Los A••••••, CA) for A•••••• F••••• O••••• on the same day
Form ADVobserved 7 days ago
2 advisors

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6afc15ed-5959-3d0c-62c4-214fe81fa94e
First observed: Jan 6, 2026
Last observed: Aug 26, 2026 27 days 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.