DFX Intelligence

V••••• F•••••••• P•••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

V••••• F•••••••• P•••••••• L••

CRD 296970

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Search this name across graphsid dfx:ria:788e7584-a035-4a21-4231-fe18954a72bf

Data as of Mar 3, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:17 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Feb 23, 2024 to Mar 3, 2026
9 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=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $157M••• Locked
Discretionary RAUM: $157M
Private client RAUM: $157Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor: $157Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
T••••• H••• L•	Certified Financial Planner	SAN CARLOS, CA	8	14	2	no

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
L•• T•••••• H•••	PRINCIPAL, CCO	E	yes	04/2018	Feb 23, 2024	Apr 3, 2024

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 3, 2026

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	0	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	$157M	$129M	21.7%	n/a	n/a	1	1	0	0

Relationships

Registered with (1)

← T••••• H••• L•Advisorregistration: current employment
May 25, 2018 to presentfactForm ADV

Controls (1)

← L•• T•••••• H•••OwnerPRINCIPAL, CCO, ownership code E, individual
Feb 23, 2024 to Apr 3, 2024factForm ADV

Dated events

Occurred
Feb 23, 2024
First Form ADV filing
V••••• F•••••••• P•••••••• L•• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:788e7584-a035-4a21-4231-fe18954a72bf
First observed: Feb 23, 2024
Last observed: Mar 3, 2026 6 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.