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CRD 300921
REDLANDS, 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•••••• W••••• B••• | n/a | REDLANDS, CA | 6 | 35 | n/a | yes |
| D•••• L••• S•••••• | n/a | REDLANDS, CA | 6 | 20 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| B•••• Q••••••• K•••••• | OWNER & CHIEF OPERATING OFFICER | A | yes | 05/2019 | Jul 14, 2026 | Jul 14, 2026 |
| T•••••• E••••• K•••••••• | OWNER & CHIEF COMPLIANCE OFFICER ADVISER REPRESENTATIVE | Na | yes | 05/2019 | Jul 14, 2026 | Jul 14, 2026 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Monrovia | CA | United States | 1 | yes |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Apr 8, 2026 |
| 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 | 1 | 0 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $1.2B | $1.0B | 22.6% | $700M | 20.8% | 10 | 10 | 1 | 1 |
| yes |
| M•••••• N•••• R•••••• | n/a | REDLANDS, CA | 6 | 17 | 1 | yes |
| R••••• A•••• B••• | Certified Financial Planner|Chartered Financial Consultant | REDLANDS, CA | 6 | 10 | n/a | yes |
| S••••• D••••• G•••••• | n/a | REDLANDS, CA | 6 | 21 | 1 | yes |
| Q•••••• K•••••• B••• | n/a | REDLANDS, CA | 6 | 11 | n/a | yes |
| C••••• L••••••• | Certified Financial Planner | REDLANDS, CA | Redlands, CA | 4 | 15 | n/a | yes |
| L••••• M•••• C••••••• | n/a | REDLANDS, CA | 1 | 10 | n/a | yes |
| A•••• M••••• G••••• | n/a | REDLANDS, CA | 0 | 13 | 2 | yes |
| R•••••• S•••••• | n/a | REDLANDS, CA | 0 | 11 | n/a | yes |
| B••• F••••• T•••• |
| Owner |
| E |
| yes |
| 05/2020 |
| Feb 8, 2021 |
| Jul 12, 2024 |
| B•••• K••••••• W••••• | Trustee | D | yes | 05/2020 | May 3, 2019 | Jul 12, 2024 |
| B•••• K••••••• W••••• | PRESIDENT & INVESTMENT ADVISER REPRESENTATIVE | Na | yes | 05/2019 | May 3, 2019 | Jul 12, 2024 |
| B•••• L•••• A• | Trustee | D | yes | 05/2023 | Feb 12, 2024 | Jul 12, 2024 |
| B•••• R•••••• A•••• | Owner | A | no | 04/2023 | Jul 14, 2026 | Jul 14, 2026 |
| G••••••• S•••••• D••••• | OWNER & INVESTMENT ADVISER REPRESENTATIVE | Na | no | 05/2019 | Jul 14, 2026 | Jul 14, 2026 |
| R••••••• M••••••• N•••• | OWNER & INVESTMENT ADVISER REPRESENTATIVE | A | no | 05/2019 | Jul 14, 2026 | Jul 14, 2026 |
| S••••••• D••••• L••• | OWNER & INVESTMENT ADVISER REPRESENTATIVE | A | no | 05/2019 | Jul 14, 2026 | Jul 14, 2026 |
| $1.2B |
| $1.2B |
| 10 |
| 8 |
| 1 |
| n/a |
| n/a |
| 2024 | Apr 2, 2025 | $1.0B | $1.0B | 10 | 9 | 1 | n/a | n/a |
| 2023 | Feb 12, 2024 | $854M | $854M | 9 | 8 | 1 | n/a | n/a |
| 2022 | Jan 25, 2023 | $700M | $700M | 10 | 9 | 1 | n/a | n/a |
| 2021 | Feb 22, 2022 | $775M | $775M | 12 | 9 | 1 | n/a | n/a |
| 2020 | Feb 8, 2021 | $634M | $634M | 10 | 8 | 1 | n/a | n/a |