DFX Intelligence

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

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RIA / WealthRegistered adviserMixed wealth managerSEC registeredRAUM 1b 10b

S•• I••••••••• M••••••••• L••

CRD 104889

LOS ANGELES, CA

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Data as of Mar 28, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:00 PM UTC and rebuilt at most every 15 minutes.

Relationships: 27
Dated events: 9
On other graphs: 0
Observed: Mar 29, 2012 to Mar 28, 2026
27 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: mixed wealth managerderivedprivate_client_share=0.2 fund_share=0.3 institutional_share=0.49 related_bd=true related_bank=true bd_reps=2.0
Regulatory AUM: $2.6B••• Locked
Discretionary RAUM: $2.6B
Private client RAUM: $516Mderived••• Locked
Private client share: 20%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 25

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
S•• C••••••••• I••••• F•••• L•••	Hedge Fund	$241M	Mar 29, 2012	26	Mar 29, 2012	dropped	021-106880
S•• T••••••• A•••• H••••• L•••	Hedge Fund	$40.3M	Mar 30, 2015

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D••••••• G•••••• M••••••	CHIEF INVESTMENT OFFICER, MANAGING PRINCIPAL, DIRECTOR	Na	yes	05/2019	Mar 28, 2026	Mar 28, 2026
H•••••• R••••••• L•••	Director	Na	yes	04/2022	Mar 28, 2026	Mar 28, 2026

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A••••••• B••••• A•••••••• I•••	n/a	Other adviser	$60B	N	yes	n/a
N••••••• I••••••••• S••••••• O• A••••••• L••	n/a	Institutional manager	$16B	N	yes

Regulatory AUM by fiscal year

••• Locked

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

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	$2.6B	$2.2B	17.8%	$2.1B	6.4%	25	26	0	0

Relationships

Affiliated with (10)

← S•••••• C•••••• M••••••••• L••Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
← N••••••• I••••••••• S••••••• O• A••••••• L••Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ A••••••• B••••• A•••••••• I•••Registered adviserother investment adviser, bank, common control
factForm ADV
→ S•••••• C•••••• M••••••••• L••

Dated events

Order

Occurred
22 Jul 2024
Control person joined
••• Locked
Form ADV
Occurred
22 Jul 2024
Control person left
••• Locked
Form ADV
Occurred
9 May 2022
Control person joined
••• Locked
Form ADV
Occurred
9 May 2022
Control person left
••• Locked
Form ADV
Occurred
27 Jun 2019
Control person left2 events
S•• I••••••••• M••••••••• L••: control person left, 2 events, on 27 Jun 2019
- ••• Locked
- ••• Locked

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 29, 2012
Last observed: Mar 28, 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.

All 15 rows

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Mar 22, 2016	$1.5B	$1.5B	33	12	n/a	4	$44.4M
2014	Mar 30, 2015	$1.9B	$1.9B	35	13	n/a	5	$73.8M
2013	Mar 20, 2014	$2.2B	$2.2B	36	14	n/a	6	$102M
2012	Mar 26, 2013	$1.9B	$1.9B	38	13	n/a	6	$125M
2011	Mar 29, 2012	$1.9B	$1.9B	n/a	n/a	n/a	5	$347M