DFX Intelligence

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

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RIA / WealthRegistered adviserinstitutional managerSEC registeredRAUM 100m 1b

F•• R••••••••• S•••••••

CRD 164571

WESTLAKE VILLAGE, CA

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Search this name across graphsid dfx:ria:8718288e-23aa-f78d-6115-f32df4b2fd2e

Data as of Mar 5, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:52 AM UTC and rebuilt at most every 15 minutes.

Relationships: 15
Dated events: 2
On other graphs: 1
Observed: Jun 18, 2012 to Mar 5, 2026
37 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Allocatorsidentity

F•• R••••••••• S•••••••

Investment consultant · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: institutional managerderivedprivate_client_share=0.0 fund_share=0.0 institutional_share=1.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $146M••• Locked
Discretionary RAUM: $146M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 6
RAUM per advisor: $24.4Mderived

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
F•••••• D••••• A••••••	PRESIDENT, CFO, PARTNER	D	yes	05/2012	Jun 18, 2012	Mar 19, 2024
B••••••••• G••••• E•	Director	B	no	12/2013	Mar 20, 2014	Mar 19, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
F•• W••••• M•••••••••	n/a	Independent wealth	$616M	N	yes	n/a
F•• I•••••••• S•••••••• I•••	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

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

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	1

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	$146M	$135M	8.1%	$113M	8.9%	12	11	0	0

Relationships

Affiliated with (2)

← F•• W••••• M•••••••••Registered adviserother investment adviser, common control
factForm ADV
→ F•• W••••• M•••••••••Registered adviserother investment adviser, common control
factForm ADV

Registered with (9)

← J••• L• B•••••Advisorregistration: current employment
Mar 15, 2023 to presentfactForm ADV
← A••••• J•••• M•••••

Dated events

Occurred
Sep 25, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Jun 18, 2012
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8718288e-23aa-f78d-6115-f32df4b2fd2e
First observed: Jun 18, 2012
Last observed: Mar 5, 2026 6 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.