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CRD 289737
LODI, CA
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 |
|---|---|---|---|---|---|---|
| E••••• G••••• B•••• | n/a | Lake Forest, CA | 8 | 32 | 2 | yes |
| K•••• A•• K•••••• | n/a | Santa Monica, CA | 8 | 39 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| M•••••••• O•••• | CHIEF COMPLIANCE OFFICER | Na | yes | 03/2020 | Jun 1, 2026 | Jun 1, 2026 |
| R••••••• D•••••• A••• | MANAGING MEMBER & PRESIDENT | E | yes | 01/2017 | Jun 1, 2026 | Jun 1, 2026 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| C••• Z•• • A••••••••• I•••••••• S••••••• I••• | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| LAKE FOREST | CA | United States | 3 | no |
| MENLO PARK | CA | United States | 3 | no |
| Napa | CA | United States | 2 | no |
| Placentia | CA | United States | 2 | no |
| WALNUT CREEK | CA | United States |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 1 | 0 | 1 | 0.0% | 0 | 0 | 0 | 2 | 1 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $1.4B | $1.2B | 20.1% | $1.0B | 12.3% | 59 | 30 | 21 | 20 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| L•• F•••••••• L•• | 2 | Apr 4, 2018 | Jan 12, 2018 | ALAMEDA, CA | Team lift out | RIA to RIA | 0.0% |
| V••••• W••••• S••••••••• | 14 | Dec 31, 2017 | Jan 4, 2018 |
| yes |
| J•••• M•••• P• S••••••• | n/a | Lake Forest, CA | 8 | 32 | 2 | yes |
| D••••• J•••• B••••• | n/a | NEWPORT BEACH, CA | 8 | 26 | 2 | yes |
| P••••• J••••• Z••••• | Certified Financial Planner | LODI, CA | Dana Point, CA | 8 | 24 | 3 | yes |
| D••••• A••• R•••••• | Certified Financial Planner | Lodi, CA | 8 | 22 | 3 | yes |
| N••••• K•••• K••••••• | n/a | Sonora, CA | 8 | 22 | 4 | yes |
| D•••• A••• S••••• | Certified Financial Planner | Redwood City, CA | LODI, CA | 8 | 19 | 2 | yes |
| J••••• C•••••••• S••••••• | Certified Financial Planner | WALNUT CREEK, CA | 8 | 18 | 5 | yes |
| C••••• C••• C••• W••• | Certified Financial Planner | PLACENTIA, CA | 8 | 11 | 2 | yes |
| D•••• J• P••••••• | n/a | Walnut Creek, CA | 8 | 34 | 2 | yes |
| E••• E•••• H••••• | n/a | Sunnyvale, CA | 8 | 24 | 6 | yes |
| B••• W•••• | n/a | BRAWLEY, CA | 8 | 21 | 4 | yes |
| O•••• S••••• | n/a | LODI, CA | Redwood City, CA | 8 | 38 | 2 | yes |
| E•••••• R••• M•••• | n/a | Santa Ana, CA | 8 | 26 | n/a | yes |
| P••••• B•••• B•••••• | n/a | Ventura, CA | 8 | 20 | 2 | yes |
| O•••• M••••••• | n/a | LODI, CA | 7 | 17 | n/a | yes |
| M•••••• J••• M•••••• | n/a | LODI, CA | ELMA, WA | 6 | 27 | n/a | yes |
| C•••• S••••• | n/a | Redwood City, CA | LODI, CA | 4 | 15 | n/a | yes |
| A••••• M••••••••• | n/a | SANTA MONICA, CA | LODI, CA | 4 | 21 | n/a | yes |
| D•••• A•••• B••••••• | Certified Financial Planner|Chartered Financial Consultant | LODI, CA | ARLINGTON, TX | 2 | 31 | 4 | yes |
| K•••• P••••• R••• | n/a | GOLDEN V•••••, MN | LODI, CA | 1 | 15 | n/a | yes |
| G•••• D•••••••• | n/a | LODI, CA | 0 | 11 | 1 | yes |
| MANAGING MEMBER |
| D |
| yes |
| 01/2017 |
| Mar 30, 2018 |
| Jul 29, 2024 |
| no |
| Bakersfield | CA | United States | 1 | no |
| Brawley | CA | United States | 1 | yes |
| DANA POINT | CA | United States | 1 | yes |
| LAKE FOREST | CA | United States | 1 | yes |
| SAN DIMAS | CA | United States | 1 | no |
| SANTA ANA | CA | United States | 1 | no |
| SANTA MONICA | CA | United States | 1 | no |
| Sonora | CA | United States | 1 | no |
| Sunnyvale | CA | United States | 1 | no |
| Ventura | CA | United States | 1 | no |
| WALNUT CREEK | CA | United States | 1 | no |
| YUBA CITY | CA | United States | 1 | no |
| Elma | Wa | United States | 1 | yes |
| n/a | n/a | n/a | 1 | yes |
| $1.4B |
| $448M |
| 59 |
| 26 |
| 21 |
| n/a |
| n/a |
| 2024 | Apr 7, 2025 | $1.2B | $274M | 30 | 26 | 20 | n/a | n/a |
| 2023 | Mar 19, 2024 | $1.0B | $175M | 30 | 25 | 21 | n/a | n/a |
| 2022 | Feb 21, 2023 | $1.0B | $150M | 31 | 28 | 20 | n/a | n/a |
| 2021 | Mar 15, 2022 | $1.0B | $65.0M | 27 | 25 | 20 | n/a | n/a |
| 2020 | Mar 9, 2021 | $848M | $58.2M | 59 | 29 | 21 | n/a | n/a |
| 2019 | Mar 20, 2020 | $718M | $0 | 33 | 30 | 22 | n/a | n/a |
| 2018 | Mar 25, 2019 | $560M | $0 | 35 | 30 | 22 | n/a | n/a |
| LAKE FOREST, CA |
| Firm absorbed |
| Other |
| 100.0% |
| N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• | 2 | Nov 29, 2017 | Jan 18, 2018 | SANTA CRUZ, CA | Team lift out | Other | 0.5% |