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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

S••• F•••••••• S••••••• L••

CRD 142510

MONTECITO, CA

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Search this name across graphsid dfx:ria:8d7e4bef-ec00-1259-c71d-5ae3a57a9b4c

Data as of Jun 23, 2014 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:22 AM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 1
On other graphs: 0
Observed: Feb 21, 2012 to Jun 23, 2014
13 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: $100M••• Locked
Discretionary RAUM: $100M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor: $100Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
F•••• T••••• T•••••	n/a	Montecito, CA	0	29	10	no

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••••••• M•••••• M•••	MEMBER, SECRETARY	D	yes	05/2014	Feb 21, 2012	Jun 23, 2014
T•••••• F••••• T•••••	PRESIDENT, MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER	D	yes	05/2014	Feb 21, 2012	Jun 23, 2014

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S••• A•••• M••••••••• L••	n/a	Former SEC adviser	$1.2M	N	yes	n/a
S••• C•••••• L••	n/a	Former SEC adviser	$0	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Henderson	Nv	United States	n/a	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2012	Apr 12, 2013

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	0.0%	0	0	0	1	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
2012	$100M	$46.0M	117.4%	n/a	n/a	4	n/a	n/a	n/a

Relationships

Registered with (3)

← F•••• T••••• T•••••Advisorregistration: previous registration
Feb 8, 2013 to Dec 31, 2017factForm ADV
← DEBRA ANNETTE FIELDSAdvisorregistration: previous registration
Mar 27, 2014 to Jun 23, 2014factForm ADV
← DAVID ERIC ARCHIBALDAdvisorregistration: previous registration
Sep 22, 2008 to Jun 30, 2009factForm ADV

Affiliated with (4)

Dated events

Occurred
Mar 28, 2014
First Form ADV filing
S••• F•••••••• S••••••• L•• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8d7e4bef-ec00-1259-c71d-5ae3a57a9b4c
First observed: Feb 21, 2012
Last observed: Jun 23, 2014 149 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.