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F••••• W••••• S•••••••• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserother adviserSEC registeredRAUM 100m 1b

F••••• W••••• S•••••••• I•••

CRD 311949

STOCKTON, CA

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Search this name across graphsid dfx:ria:6dbc9893-3b00-dea3-5a04-064b1e6a19ed

Data as of Mar 23, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:39 AM UTC and rebuilt at most every 15 minutes.

Relationships: 15
Dated events: 6
On other graphs: 1
Observed: Dec 11, 2020 to Mar 23, 2026
19 observations

Across DFX

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

Allocatorsidentity

F••••• W••••• S•••••••• I•••

Investment consultant · shared crd

Facts

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

Firm class: other adviserderivedprivate_client_share=0.19 fund_share=0.0 institutional_share=0.81 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $628MItem 5.F on the latest filing (2026-03-23); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $628M
Private client RAUM: $120MderivedItem 5.D individuals plus high net worth individuals
Private client share: 19%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
R•••• P••••	n/a	STOCKTON, CA	1	16	1	no
E••• C•••••• K•••••••	n/a	STOCKTON, CA	1	11

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
F••••• C••	PARENT COMPANY	E	yes	10/2020	Dec 11, 2020	Dec 2, 2024
L••• M••••••• E•	PRESIDENT & CHIEF EXECUTIVE OFFICER	D	yes	10/2020	Dec 11, 2020

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

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

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line; showing 5 of 6

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

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

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	2

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$628M	$771M	-18.5%	$780M	-7.0%	5	4	0	0

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
F•••••••• D••••••••• I•••	2	Apr 23, 2021	Jan 11, 2021	STOCKTON, CA	Team lift out	Other	66.7%

Relationships

Registered with (7)

← E••• C•••••• K•••••••Advisorregistration: current employment
May 7, 2025 to presentfactForm ADV
← R•••• P••••Advisorregistration: previous registration
Jun 14, 2021 to Feb 8, 2023factForm ADV
← Nathan Andrew Ossino WilliamsonAdvisorregistration: previous registration
May 23, 2022 to May 13, 2025factForm ADV
← TOLEN CLEMENT TEIGEN

Dated events

Occurred
May 13, 2025
Advisor changed firm
Nathan Andrew Ossino Williamson left F••••• W••••• S•••••••• I••• for Waystone Advisors Llc (registered 2025-06-02)
Form ADVobserved 7 days ago
Occurred
Dec 2, 2024
Advisor changed firm
Tolen Clement Teigen left F••••• W••••• S•••••••• I••• for Intellicents Investment Solutions Inc (registered 2024-12-04)
Form ADVobserved 7 days ago
Occurred
Feb 8, 2023
Advisor changed firm
Patrick Joseph Mulcahy left F••••• W••••• S•••••••• I••• for Cetera Investment Advisers Llc (registered 2026-05-07)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6dbc9893-3b00-dea3-5a04-064b1e6a19ed
First observed: Dec 11, 2020
Last observed: Mar 23, 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.