DFX Intelligence
Reading the graph
Reading the graph
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
CRD 316858
SACRAMENTO, CA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| B•••••• H••••• | n/a | SACRAMENTO, CA | Sacramento, CA | 4 | 37 | 8 | no |
| C••••• E••••••• S•••••• | n/a | SACRAMENTO, CA | Sacramento, CA | 4 | 10 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| H•••••• B•••••• | MANAGING MEMBER | C | yes | 07/2021 | Jun 29, 2022 | May 8, 2024 |
| J••••••• J••••• P•••••• | MANAGING MEMBER | C | yes | 07/2021 | Jun 29, 2022 | May 8, 2024 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Sacramento | CA | United States | 1 | yes |
| n/a | n/a | n/a | 1 | yes |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Apr 20, 2026 |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 0 | 3 | -3 | 100.0% | 0 | 0 | 0 | 0 | 5 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $33.7M | $434M | -92.2% | $267M | -49.8% | 3 | 15 | 1 | 5 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| C•••• C•••••• S••••••••• L••• | 2 | Jan 2, 2026 | Jan 5, 2023 | SACRAMENTO, CA | Team lift out | RIA to ibd | 33.3% |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| C•••••••• I••••••••• R••••••• A•••••••• I••• | 2 | Dec 31, 2022 | Sep 19, 2022 | SACRAMENTO, CA | Team lift out | Ibd to RIA | 0.1% |
| C•••••••• I••••••••• R••••••• A•••••••• I••• | 2 | Dec 31, 2022 |
| no |
| J•••• E••••• S•••• | Chartered Financial Consultant | Walnut Creek, CA | SACRAMENTO, CA | 3 | 37 | 4 | no |
| MANAGING MEMBER |
| C |
| yes |
| 07/2021 |
| Jun 29, 2022 |
| May 8, 2024 |
| G••••••• S••••• A•• | Cco | Na | no | 09/2023 | Aug 9, 2023 | May 8, 2024 |
| $33.7M |
| $33.7M |
| 3 |
| 3 |
| 1 |
| n/a |
| n/a |
| 2024 | Mar 24, 2025 | $434M | $401M | 15 | 7 | 5 | n/a | n/a |
| 2023 | Mar 19, 2024 | $364M | $335M | 13 | 7 | 4 | n/a | n/a |
| 2022 | Mar 22, 2023 | $267M | $267M | 14 | 9 | 4 | n/a | n/a |
| PROVO, UT |
| Team lift out |
| Ibd to RIA |
| 0.1% |
| C•••••••• I••••••••• R••••••• A•••••••• I••• | 2 | Dec 6, 2022 | Dec 6, 2022 | LOGAN, UT | Team lift out | Ibd to RIA | 0.1% |