DFX Intelligence

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

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RIA / WealthRegistered adviserstate registeredstate registeredRAUM none

F•••••••• C••••••• P••••••• L••

CRD 152306

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Search this name across graphsid dfx:ria:82dfb9f9-536e-ede7-31c0-2a19d648b1f5

Data as of Feb 10, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:59 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Feb 10, 2026 to Feb 10, 2026
1 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: state registeredderivedon the IAPD state feed, not SEC-registered
Private client RAUM: $0derived••• Locked
Employees: 3
Advisory employees: 3
Offices: 0Schedule D 1.F, beyond the principal office
Individual clients: 145
High net worth clients: 0
CRD: 152306

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
C••••• A•• U••••	n/a	SOMIS, CA	16	28	1	no
D•••• E• U••••	n/a	SOMIS, CA	15	15

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
1	0	1	n/a	0	0	0	1	0

Relationships

Registered with (5)

← P••••• K• L••••••••Advisorregistration: current employment
Jun 12, 2026 to presentfactForm ADV
← F•••• S••••••••Advisorregistration: current employment
Mar 11, 2026 to presentfactForm ADV
← S•••••• M• H•••••Advisorregistration: current employment
Jun 4, 2013 to presentfactForm ADV
← D•••• E• U••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:82dfb9f9-536e-ede7-31c0-2a19d648b1f5
First observed: Feb 10, 2026
Last observed: Feb 10, 2026 7 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.