DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

P••••• P•••••• C•••••• M••••••••• L••

CRD 108063

P••••••A, CA

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Search this name across graphsid dfx:ria:9c2a093a-081c-8e21-c626-f656883f3207

Data as of Mar 4, 2021 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:05 PM UTC and rebuilt at most every 15 minutes.

Relationships: 15
Dated events: 0
On other graphs: 0
Observed: Feb 16, 2012 to Mar 4, 2021
23 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: $1.5B••• Locked
Discretionary RAUM: $1.5B
Private client RAUM: $1.3Bderived••• Locked
Private client share: 86%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 11

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
F•••••• A•••••• T••••••	CHIEF INVESTMENT OFFICER, SECRETARY, TREASURER	C	yes	04/1999	Feb 16, 2012	Mar 4, 2021
L••• S••••• C•	CHIEF COMPLIANCE OFFICER & SENIOR PORTFOLIO MANAGER	Na	yes	10/2013	Oct 18, 2013	Mar 4, 2021

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
SAN MARINO	CA	United States	4	no
Houston	TX	United States	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2020

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2020	$1.5B	$1.3B	20.8%	$1.1B	12.2%	11	10	2	2

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
W••••• E••••••••• A••••••• S•••••••• L••	7	Jun 4, 2021	Jun 1, 2021	P••••••A, CA	Firm absorbed	RIA to ibd	100.0%

Relationships

Controls (3)

← F•••••• A•••••• T••••••OwnerCHIEF INVESTMENT OFFICER, SECRETARY, TREASURER, ownership code C, individual
Feb 16, 2012 to presentfactForm ADV
← Y•••• M••••• L•OwnerPRESIDENT, CEO & SENIOR PORTFOLIO MANAGER, ownership code D, individual
May 11, 2017 to presentfactForm ADV
← L••• S••••• C•OwnerCHIEF COMPLIANCE OFFICER & SENIOR PORTFOLIO MANAGER, ownership code NA, individual
Oct 18, 2013 to presentfactForm ADV

Registered with (11)

← S•••• C•••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9c2a093a-081c-8e21-c626-f656883f3207
First observed: Feb 16, 2012
Last observed: Mar 4, 2021 67 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.