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CRD 144069
NEWPORT BEACH, 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 |
|---|---|---|---|---|---|---|
| K•••• A••••• M•••••••• | n/a | NEWPORT BEACH, CA | 15 | 15 | n/a | no |
| A••••••••• G••••• | n/a | NEWPORT BEACH, CA | Rocklin, CA | 15 | 25 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| K••••••••• B••••••• A•• | MANAGING MEMBER | C | yes | 02/2020 | Jul 8, 2021 | Nov 26, 2024 |
| K••••••••• G••••••• L••• | MANAGING MEMBER | C | yes | 05/2007 | Mar 29, 2012 | Nov 26, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| D••• I•••••••• S•••••••• L•• | n/a | n/a | n/a | N | yes | n/a |
| S•••••••• R••••••••• I•••••••• A•• F•••••••• S•••••••• I••• | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| EL SEGUNDO | CA | United States | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 5 | 0 | 5 | 0.0% | 1 | 0 | 0 | 5 | 4 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $304M | $228M | 33.6% | $208M | 13.6% | 15 | 10 | 4 | 1 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| S•••••••• I••••••••• G••••• L•• | 2 | Mar 29, 2018 | Oct 24, 2016 | NEWPORT BEACH, CA | Team lift out | RIA to RIA | 18.2% |
| W••••• T•••• A••••••• | 2 | Oct 6, 2015 | Jan 5, 2026 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| M•• I•••••••• S•••••••• L•• | 3 | Nov 4, 2025 | Nov 12, 2025 | COSTA MESA, CA | Team lift out | Ibd to RIA | 0.1% |
| S••••••• I••••••••• I••• | 2 | Nov 2, 2018 | Nov 12, 2012 |
| no |
| M••••••• N• M•• | n/a | SAN DIEGO, CA | NEWPORT BEACH, CA | 9 | 21 | 1 | no |
| M••• A••• M••••• | Chartered Financial Analyst | NEWPORT BEACH, CA | 9 | 10 | n/a | no |
| M•••••• A••• B•••••••• | n/a | NEWPORT BEACH, CA | El Segundo, CA | 7 | 13 | 2 | no |
| R•••••• S•••••••• | n/a | Los Angeles, CA | NEWPORT BEACH, CA | 5 | 10 | n/a | no |
| A••••• S••••• F•••••• | n/a | NEWPORT BEACH, CA | Scottsdale, AZ | Tempe, AZ | 4 | 14 | 3 | no |
| A•••••• C••••••••• R•••• | n/a | NEWPORT BEACH, CA | 3 | 16 | 5 | no |
| B•••• J••••• H•••••••• | Chartered Financial Analyst | Oakton, VA | NEWPORT BEACH, CA | 1 | 18 | n/a | no |
| S•••• R••••• G••••• | Certified Financial Planner | San Diego, CA | NEWPORT BEACH, CA | 0 | 10 | 1 | yes |
| A•••••••• A••••• L••••••• | n/a | NEWPORT BEACH, CA | 0 | 10 | 1 | yes |
| R•••••• W• T•• | n/a | NEWPORT BEACH, CA | 0 | 12 | 1 | yes |
| J••••• L•• M••••• | Certified Financial Planner | San Diego, CA | NEWPORT BEACH, CA | 0 | 12 | 1 | no |
| S••••• E•••••••• N••••• | n/a | Newport Beach, CA | NEWPORT BEACH, CA | 0 | 11 | n/a | yes |
| S••••• D•••• L•• | n/a | NEWPORT BEACH, CA | 0 | 11 | n/a | yes |
| L••••• G•••••• B••••• | n/a | Orlando, FL | NEWPORT BEACH, CA | 0 | 11 | n/a | no |
| G•••••• L••• K••••••••• | n/a | NEWPORT BEACH, CA | 0 | 30 | 3 | yes |
| CHIEF INVESTMENT OFFICER (8/2016), CCO (3/2020) |
| C |
| yes |
| 08/2016 |
| Mar 30, 2017 |
| Nov 26, 2024 |
| Mar 27, 2026 |
| $304M |
| $304M |
| 15 |
| 15 |
| 4 |
| n/a |
| n/a |
| 2024 | Mar 28, 2025 | $228M | $228M | 10 | 9 | 1 | n/a | n/a |
| 2023 | Mar 4, 2024 | $219M | $219M | 12 | 11 | 0 | n/a | n/a |
| 2022 | Mar 23, 2023 | $208M | $208M | 15 | 13 | 1 | n/a | n/a |
| 2021 | Mar 28, 2022 | $230M | $230M | 18 | 15 | 1 | n/a | n/a |
| 2020 | Mar 26, 2021 | $237M | $237M | 19 | 16 | 1 | n/a | n/a |
| 2019 | Mar 27, 2020 | $213M | $213M | 24 | 21 | 1 | n/a | n/a |
| 2018 | Mar 27, 2019 | $147M | $147M | 23 | 20 | 1 | n/a | n/a |
| 2017 | Mar 29, 2018 | $148M | $148M | 20 | 17 | 1 | n/a | n/a |
| 2016 | Mar 30, 2017 | $163M | $125M | 15 | 10 | n/a | n/a | n/a |
| 2015 | Mar 21, 2016 | $252M | $218M | 15 | 13 | n/a | n/a | n/a |
| 2014 | Mar 30, 2015 | $231M | $202M | 19 | 18 | n/a | n/a | n/a |
| 2013 | Mar 26, 2014 | $171M | $171M | 27 | 23 | n/a | n/a | n/a |
| 2012 | Mar 27, 2013 | $122M | $122M | 27 | 7 | n/a | n/a | n/a |
| 2011 | Mar 29, 2012 | $92.7M | $92.7M | n/a | n/a | n/a | n/a | n/a |
| NEWPORT BEACH, CA |
| Team lift out |
| Other |
| 16.7% |
| IRVINE, CA |
| Team lift out |
| Ibd to RIA |
| 0.2% |