DFX Intelligence

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

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RIA / WealthRegistered adviserNo RAUM reportedSEC registeredRAUM none

O••••• A••••••• L••

CRD 316214

PASADENA, CA

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Data as of Apr 16, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:12 PM UTC and rebuilt at most every 15 minutes.

Relationships: 21
Dated events: 5
On other graphs: 0
Observed: Sep 8, 2022 to Apr 16, 2026
11 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: no raum reportedderivedprivate_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=5.0
Regulatory AUM: $0••• Locked
Discretionary RAUM: $0
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 2
Employees: 5
Advisory employees: 2
Offices: 0Schedule D 1.F, beyond the principal office

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
E••••• A•••• Z••••	n/a	SCOTTSDALE, AZ \| PASADENA, CA \| Pasadena, CA	20	34	n/a	yes
S•••••• F•••••• S•••••	n/a	Weatogue, CT \| NEWPORT BEACH, CA \| Pasadena, CA \| PASADENA, CA \| Jupiter, FL \| NEW YORK, NY	2

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
E••••• A•• J••• W•••••• F••••• T••••	SOLE MEMBER	E	yes	12/2020	Sep 8, 2022	Jun 4, 2024
L•••••• R•••••• F•••••••	PRINCIPAL- CHIEF GROWTH OFFICER	Na	yes	08/2022	Sep 8, 2022	Jun 4, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
W•••••• S••••••••• I•••	n/a	Bd affiliated wealth	$5.7B	N	yes	CA
V•• H••••• A•••• M••••••••• L••	n/a	Independent wealth	$2.1B	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Apr 16, 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	$0	$0	n/a	$0	n/a	5	5	0	0

Relationships

Affiliated with (8)

→ V•• H••••• F•••••••• A•••••••Registered adviserother investment adviser, common control
factForm ADV
→ M• I••••••••• S•••••••Registered adviserother investment adviser, common control
factForm ADV
→ Q•••••• I•••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ S•••••••• M••••••••• L••Registered adviserother investment adviser, common control

Dated events

Order

Occurred
3 Aug 2026
Advisor departed, no destination yet
••• Locked
Form ADV
Occurred
4 Nov 2025
Ria hq relocated
••• Locked
Form ADV
Occurred
24 Sep 2025
Advisor departed, no destination yet
••• Locked
Form ADV
Occurred
16 Dec 2022
Control person joined
••• Locked
Form ADV
Occurred
8 Sep 2022
First Form ADV filing
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Sep 8, 2022
Last observed: Apr 16, 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.