DFX Intelligence

R•• I••••••••• A•••• M••••••••• G•••• 2• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserno raum reportedSEC registeredRAUM none

R•• I••••••••• A•••• M••••••••• G•••• 2• L••

CRD 324467

STUDIO CITY, CA

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Search this name across graphsid dfx:ria:6e03b6e3-f97e-5746-16f1-a6b0bd8f3e30

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:21 PM UTC and rebuilt at most every 15 minutes.

Relationships: 19
Dated events: 1
On other graphs: 0
Observed: Mar 26, 2024 to Mar 31, 2026
5 observations

Across DFX

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.

Facts

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

Firm class: no raum reportedderivedprivate_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $0••• Locked
Discretionary RAUM: $0
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Employees: 9
Advisory employees: 5
Offices: 2Schedule D 1.F, beyond the principal office

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
L••••• R•••• P••••••	Trustee	F	yes	06/2012	Mar 26, 2024	Sep 27, 2024
L••••• R•••• P••••••	CO-CEO	Na	yes	06/2018	Mar 26, 2024	Sep 27, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
R•• A•••• M••••••••• G••••• L••	n/a	Asset manager	$129M	N	yes	n/a
R•• A•••• M••••••••• G•••• 3• L••	n/a	No RAUM reported	$0	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Denver	Co	United States	2	no
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 31, 2026

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	$0	$0	n/a	n/a	n/a	9	9	2	2

Relationships

Affiliated with (5)

→ R•• A•••• M••••••••• G••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ R•• A•••• M••••••••• G•••• 3• L••Registered adviserother investment adviser, common control
factForm ADV
→ R•• A•••• M••••••••• G•••• 4• L••Registered adviserother investment adviser, common control
factForm ADV
← R•• A•••• M••••••••• G•••• 3• L••Registered adviser

Dated events

Occurred
Mar 26, 2024
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6e03b6e3-f97e-5746-16f1-a6b0bd8f3e30
First observed: Mar 26, 2024
Last observed: Mar 31, 2026 5 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.