DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

E•••• A•••••••• L••

CRD 282117

IRVINE, CA

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Search this name across graphsid dfx:ria:9c887246-4904-4878-bb81-110594ccf44e

Data as of Mar 7, 2022 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:29 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 2
On other graphs: 0
Observed: Dec 16, 2015 to Mar 7, 2022
15 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
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Employees: 7
Advisory employees: 7
Offices: 0Schedule D 1.F, beyond the principal office
Individual clients: 0
High net worth clients: 0

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••••• L•••••• C••••• H••••••• I•••	Shareholder	B	yes	01/2016	Feb 11, 2022	Mar 7, 2022
J••• N•••••• Y••	CHIEF COMPLIANCE OFFICER	E	no	01/2022	Feb 11, 2022	Mar 7, 2022

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S••••••• M••••••••• I•••	n/a	n/a	n/a	N	yes	n/a
S••••••• T•••• C••••••	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
2020	Mar 31, 2021

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	n/a	$278M	n/a	$224M	n/a	7	9	0	0

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
S••••••• A•••••••• L••	4	Dec 31, 2020	Nov 30, 2023	IRVINE, CA	Firm absorbed	Other	100.0%

Relationships

Owns (1)

← J••• N•••••• Y••OwnerCHIEF COMPLIANCE OFFICER, ownership code E, individual
Feb 11, 2022 to presentfactForm ADV

Controls (1)

← A••••••• L•••••• C••••• H••••••• I•••OwnerSHAREHOLDER, ownership code B, domestic entity
Feb 11, 2022 to presentfactForm ADV

Moved with (1)

→ S••••••• A•••••••• L••Registered adviser4 advisors, firm absorbed, same day
Dec 31, 2020 to Nov 30, 2023factForm ADV

Registered with (5)

Dated events

Occurred
Mar 7, 2022
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Dec 16, 2015
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9c887246-4904-4878-bb81-110594ccf44e
First observed: Dec 16, 2015
Last observed: Mar 7, 2022 55 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.