DFX Intelligence

R••••• A•••••••• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

R••••• A•••••••• I•••

CRD 136005

FULLERTON, CA

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Search this name across graphsid dfx:ria:844f5c55-bb56-355e-f6b0-2a0631499a7f

Data as of Jun 21, 2012 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:35 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Mar 6, 2012 to Jun 21, 2012
6 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: $69.2M••• Locked
Discretionary RAUM: $69.2M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 465
SEC number

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
R•••••• J• H•••	President	E	yes	07/1985	Mar 6, 2012	Jun 21, 2012
R•••••• J••••• P••••••	VICE PRESIDENT OF OPERATIONS	Na	yes	07/1992	Mar 6, 2012	Jun 21, 2012

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
R••••• F•••••••• G••••• I•••	n/a	n/a	n/a	N	yes	n/a
T••••••• F••••••• I•••	n/a	n/a	n/a	N	yes	n/a
T•••• G•••••	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2012	Apr 24, 2012	$69.2M	$69.2M	n/a	n/a	n/a	n/a	n/a

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2012	$69.2M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
R•• W••••• M•••••••••	2	Nov 26, 2015	Feb 11, 2020	FULLERTON, CA	Team lift out	Other	100.0%

Relationships

Controls (2)

← R•••••• J••••• P••••••OwnerVICE PRESIDENT OF OPERATIONS, ownership code NA, individual
Mar 6, 2012 to presentfactForm ADV
← R•••••• J• H•••OwnerPRESIDENT, ownership code E, individual
Mar 6, 2012 to presentfactForm ADV

Moved with (1)

→ R•• W••••• M•••••••••Registered adviser2 advisors, team lift out, same day
Nov 26, 2015 to Feb 11, 2020factForm ADV

Registered with (2)

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:844f5c55-bb56-355e-f6b0-2a0631499a7f
First observed: Mar 6, 2012
Last observed: Jun 21, 2012 173 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.