DFX Intelligence

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

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

P•••••• A•••• M••••••••• I••

CRD 106598

SAN DIEGO, CA

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Search this name across graphs

Data as of Aug 17, 2023 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:12 PM UTC and rebuilt at most every 15 minutes.

Relationships: 24
Dated events: 13
On other graphs: 0
Observed: Jan 23, 2012 to Aug 17, 2023
30 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: $751M••• Locked
Discretionary RAUM: $751M
Private client RAUM: $697Mderived••• Locked
Private client share: 93%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 19

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••••••• T•••••• A•••••	Trustee	Na	yes	11/2022	Aug 10, 2023	Aug 17, 2023
B•••••• M••••••• D••••	Trustee	Na	yes	11/2016	Jan 23, 2012	Aug 17, 2023

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
M•••••• D• B•••••	n/a	n/a	n/a	N	no	n/a
T••••• A••••• B••••••••	n/a	n/a	n/a	Y	no	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
INDIAN WELLS	CA	United States	1	no

Regulatory AUM by fiscal year

••• Locked

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

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2022	$751M	$1.0B	-25.1%	$816M	-2.7%	19	22	1	1

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
M••••• G••••• A••••••• I•••	2	Mar 15, 2024	Jan 5, 2026	SAN DIEGO, CA	Team lift out	RIA to RIA	100.0%
K••••• P•••••• W••••• S•••••••• L••	3	Jun 23, 2023

Relationships

Controls (7)

← M••••• G••••• A••••••• I•••OwnerPARENT COMPANY, ownership code E, domestic entity
Aug 10, 2023 to presentfactForm ADV
← B•••••• M••••••• D••••OwnerTRUSTEE, ownership code NA, individual
Jan 23, 2012 to presentfactForm ADV
← B••••• E•••• W••••OwnerTRUSTEE, ownership code NA, individual
Dec 22, 2016 to presentfactForm ADV
← W•••• J••••••• S••••OwnerTRUSTEE (7/2020) / PRESIDENT/CEO (10/2021), ownership code NA, individual
Jul 16, 2020 to presentfact

Dated events

Order

Occurred
15 Mar 2024
Advisor changed firm2 events
P•••••• A•••• M••••••••• I••: advisor changed firm, 2 counterparties, on 15 Mar 2024
- ••• Locked
- ••• Locked
Occurred
15 Mar 2024
Team lift-out
••• Locked
Form ADV
2 advisors
Occurred
10 Aug 2023
Control person joined
••• Locked
Form ADV
Occurred
23 Jun 2023
Advisor changed firm3 events
P•••••• A•••• M••••••••• I••: advisor changed firm, 3 counterparties, on 23 Jun 2023
- ••• Locked
- ••• Locked
- ••• Locked
Occurred
23 Jun 2023
Firm absorbed
••• Locked
Form ADV
3 advisors

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jan 23, 2012
Last observed: Aug 17, 2023 37 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.

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2012	Jan 3, 2013	$686M	$686M	20	15	n/a	n/a	n/a
2011	Jan 23, 2012	$612M	$612M	n/a	n/a	n/a	n/a	n/a