DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

S•••••• • C••• I•••

S•••••• • C•MPANY, CRD 6911

SAN DIEGO, CA

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Search this name across graphsid dfx:ria:710f661d-535e-1627-4683-a9c1258ad37f

Data as of Jan 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:02 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 5
On other graphs: 0
Observed: Mar 9, 2012 to Jan 30, 2026
23 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: independent wealth managerderivedprivate_client_share=0.68 fund_share=0.0 institutional_share=0.32 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $616M••• Locked
Discretionary RAUM: $489M
Private client RAUM: $422Mderived••• Locked
Private client share: 68%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor: $616Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
T•••• B••••••• R•••	Certified Financial Planner\|Chartered Financial Analyst	SAN DIEGO, CA	2	13	1	no

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
M•••••• B••••••• A••	PRESIDENT/CHIEF COMPLIANCE OFFICER	E	yes	09/1998	Mar 9, 2012	Sep 20, 2024
R•••• T••••• B•••••••	CHIEF INVESTMENT OFFICER	Na	yes	04/2023	Mar 4, 2024	Sep 20, 2024

Regulatory AUM by fiscal year

••• Locked

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

Advisor flows

••• Locked

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	1	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	$616M	$585M	5.2%	$581M	2.0%	2	3	0	0

Relationships

Registered with (1)

← T•••• B••••••• R•••Advisorregistration: current employment
Mar 24, 2024 to presentfactForm ADV

Affiliated with (1)

← W••••••••• A••••••• L•••••Registered adviserother investment adviser, common control
factForm ADV

Controls (2)

← M•••••• B••••••• A••OwnerPRESIDENT/CHIEF COMPLIANCE OFFICER, ownership code E, individual
Mar 9, 2012 to Sep 20, 2024factForm ADV

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Jan 30, 2026
Ria principal change
••• Locked
Form ADVobserved today
Occurred
Jan 30, 2026
Ria majority owner change
••• Locked
Form ADVobserved today
Occurred
Jan 30, 2026
Ria ownership band change
••• Locked
Form ADVobserved today

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:710f661d-535e-1627-4683-a9c1258ad37f
First observed: Mar 9, 2012
Last observed: Jan 30, 2026 7 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.