DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

S•••• B•••••• A•••• M••••••••• L••

CRD 138123

LOS ANGELES, CA

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Search this name across graphsid dfx:ria:77f0f9df-2f88-b428-f309-0f2014770b6a

Data as of Sep 14, 2021 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:23 PM UTC and rebuilt at most every 15 minutes.

Relationships: 49
Dated events: 4
On other graphs: 0
Observed: Mar 28, 2012 to Sep 14, 2021
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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $7.5B••• Locked
Discretionary RAUM: $7.5B
Private client RAUM: $978Mderived••• Locked
Private client share: 13%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 12

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••••••• D••••• A••••	CO-HEAD OF S•••• B•••••• A•••• M•••••••••, PORTFOLIO MANAGER	Na	yes	01/2020	Jun 13, 2019	Sep 14, 2021
I•••••• M••• A••• C•	MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER	Na	yes	07/2016	Jul 12, 2016	Sep 14, 2021

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
T••••••• A•••••••• L••	n/a	Former SEC adviser	$436B	N	yes	n/a
T•••••••• I••••••••• M••••••••• L••	n/a	Asset manager	$292B	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Minneapolis	Mn	United States	2	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2020

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2020	$7.5B	$4.7B	60.0%	$5.1B	13.6%	12	23	1	1

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
N••••• A•••• M••••••••• L••	2	Dec 31, 2021	Jan 3, 2022	CHICAGO, IL	Team lift out	Other	66.7%

Relationships

Affiliated with (19)

← N•• I••••••••• M••••••••• C••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ N••••• F••• A•••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ W•••••• C•••••• M••••••••• L••Registered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ T••••••• A•••••••• L••Registered adviser

Dated events

Occurred
Mar 31, 2021
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$2.8B
Occurred
Jun 13, 2019
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Jun 13, 2019
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Jun 13, 2019
Control person joined
••• Locked

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:77f0f9df-2f88-b428-f309-0f2014770b6a
First observed: Mar 28, 2012
Last observed: Sep 14, 2021 61 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.