DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

W••••• S••••••••• G••••

CRD 326407

NEWPORT BEACH, CA

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Search this name across graphsid dfx:ria:74a3dfb7-f1fb-092f-4af8-3575f995ca77

Data as of Sep 9, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:42 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: May 30, 2023 to Sep 9, 2026
12 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $103M••• Locked
Discretionary RAUM: $103M
Private client RAUM: $99.5Mderived••• Locked
Private client share: 97%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $51.5Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
T••••• A••••	Certified Financial Planner	NEWPORT BEACH, CA \| Sacramento, CA	0	30	2	no
M••• P•••••• Y••••	Certified Financial Planner	NEWPORT BEACH, CA	0	25

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••• T•••••	CEO/PRESIDENT/CCO	E	yes	04/2023	May 30, 2023	Aug 20, 2024

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2023	Mar 31, 2024	$16.3M	$16.3M	4	2	0	n/a	n/a

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
2	0	2	0.0%	0	0	0	2	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
2023	$103M	n/a	n/a	n/a	n/a	6	n/a	0	n/a

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
S••••••••• A•••••• A•••••••• I•••	2	Dec 20, 2023	Jun 22, 2026	NEWPORT BEACH, CA	Team lift out	Ibd to new firm	0.1%

Relationships

Registered with (2)

← M••• P•••••• Y••••Advisorregistration: current employment
Jun 22, 2026 to presentfactForm ADV
← T••••• A••••Advisorregistration: current employment
Jan 1, 2026 to presentfactForm ADV

Controls (1)

← A••••• T•••••OwnerCEO/PRESIDENT/CCO, ownership code E, individual
May 30, 2023 to presentfactForm ADV

Moved with (1)

Dated events

Occurred
Dec 20, 2023
Team lift-out
••• Locked
Form ADVobserved 7 days ago
2 advisors
Occurred
May 30, 2023
First Form ADV filing
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:74a3dfb7-f1fb-092f-4af8-3575f995ca77
First observed: May 30, 2023
Last observed: Sep 9, 2026 14 days 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.