DFX Intelligence
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Reading the graph
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CRD 127383
LOS ANGELES, CA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| S••••• B••• C•• | n/a | LOS ANGELES, CA | Fountain Valley, CA | 11 | 18 | n/a | no |
| B•••• W•••••• G••••• | Certified Financial Planner | LOS ANGELES, CA | St. Augustine, FL | 1 | 14 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| O•••••• R•• | Ceo | E | yes | 07/2002 | Aug 24, 2021 | Dec 20, 2024 |
| P••••••••• J•••••• M••••• | CHIEF COMPLIANCE OFFICER | Na | no | 05/2022 | Jun 1, 2022 | Dec 20, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| C••••••••• L••• I•••••••• S••••••••• L•• | n/a | n/a | n/a | N | yes | n/a |
| C••••••••• W••••• • I•••••••• S•••••••• L•• •••••••• P••••• L•••••• • J•••• F•••••••• A•• I•••••••• S••••••••• L••• | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| LOS ANGELES | CA | United States | 5 | no |
| Torrance | CA | United States | 5 | no |
| n/a | n/a | n/a | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 31, 2026 |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 3 | 1 | 2 | 11.1% | 0 | 0 | 0 | 10 | 8 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $454M | $344M | 31.9% | $198M | 31.9% | 19 | 15 | 1 | 1 |
| no |
| R•• O••••• | n/a | LOS ANGELES, CA | TORRANCE, CA | 0 | 35 | 1 | no |
| D•••• C••••••••• L•••••••• | n/a | LOS ANGELES, CA | Van Nuys, CA | 0 | 18 | 2 | no |
| C•••••• O••••• | n/a | LOS ANGELES, CA | 0 | 20 | n/a | no |
| J•••• A••••••• E•••••••• | Certified Financial Planner | Torrance, CA | 0 | 13 | 3 | no |
| C••••••••• T••••• K••• | Chartered Financial Analyst | Robinsville, NJ | LOS ANGELES, CA | 0 | 10 | 1 | no |
| Y•• M••• N• | n/a | Los Angeles, CA | LOS ANGELES, CA | 0 | 12 | n/a | no |
| S••••• B•••••• T••••• | n/a | LOS ANGELES, CA | Las Vegas, NV | 0 | 11 | n/a | no |
| $454M |
| $384M |
| 19 |
| 8 |
| 1 |
| n/a |
| n/a |
| 2024 | Apr 21, 2025 | $344M | $343M | 15 | 12 | 1 | n/a | n/a |
| 2023 | Mar 28, 2024 | $267M | $264M | 23 | 11 | 3 | n/a | n/a |
| 2022 | Mar 14, 2023 | $198M | $196M | 20 | 10 | 3 | n/a | n/a |
| 2021 | Mar 29, 2022 | $169M | $150M | 20 | 9 | 2 | n/a | n/a |