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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

C•••••• F•••••••• P•••••••• L••

CRD 326620

SAN DIEGO, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:7a2c2013-3ae8-7924-2267-920f9450ac7e

Data as of Mar 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:07 AM UTC and rebuilt at most every 15 minutes.

Relationships: 15
Dated events: 8
On other graphs: 0
Observed: Apr 26, 2023 to Mar 27, 2026
13 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: $1.4BItem 5.F on the latest filing (2026-03-27); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.4B
Private client RAUM: $1.4BderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 7
RAUM per advisor

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
D••••• L•• H•••••	Certified Financial Planner	SAN DIEGO, CA	3	10	2	no
J•••••• S•••• M••••••••	n/a	SAN DIEGO, CA	2	25

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
K•••••• B••••• P••••	MANAGING MEMBER / CCO	C	yes	08/2023	Mar 27, 2026	Mar 27, 2026
M••••••••• J••••••• S••••	MANAGING MEMBER	C	yes	08/2023	Mar 27, 2026

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

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

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

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	4	0

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$1.4B	$1.2B	19.0%	n/a	n/a	9	8	1	0

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
C••••••• P•••••••	2	Aug 28, 2023	Apr 30, 2024	SAN DIEGO, CA	Team lift out	RIA to new firm	0.3%
C••••••• P•••••••	2	Aug 28, 2023

Relationships

Registered with (7)

← S•••• P••••Advisorregistration: current employment
May 8, 2026 to presentfactForm ADV
← L••••• T•••• G•••••Advisorregistration: current employment
Apr 28, 2026 to presentfactForm ADV
← C••••••• C••••• M••••Advisorregistration: current employment
Dec 9, 2024 to presentfactForm ADV
← J•••••• S•••• M••••••••

Dated events

Occurred
Mar 28, 2024
Regulatory AUM changed
C•••••• F•••••••• P•••••••• L•• reported RAUM $973.9M, up 29% from $755.1M (2023-10-27 to 2024-03-28)
Form ADVobserved 7 days ago
$219M
Occurred
Aug 28, 2023
Team lift-out
2 advisors left C••••••• P••••••• (San Diego, CA) for C•••••• F•••••••• P•••••••• L•• on the same day
Form ADVobserved 7 days ago
2 advisors
Occurred
Aug 28, 2023
Team lift-out
2 advisors left C••••••• P••••••• (Overland Park, KS) for C•••••• F•••••••• P•••••••• L•• on the same day
Form ADVobserved 7 days ago
2 advisors

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7a2c2013-3ae8-7924-2267-920f9450ac7e
First observed: Apr 26, 2023
Last observed: Mar 27, 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.