DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

G••••••• C•••••• A•••••••• L••

CRD 168912

SAN DIEGO, CA

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Search this name across graphsid dfx:ria:a1f96798-8126-4b26-fb17-10b0a89f2e0d

Data as of Feb 26, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:13 AM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 2
On other graphs: 0
Observed: Dec 3, 2013 to Feb 26, 2026
31 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: independent wealth managerderivedprivate_client_share=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $742M••• Locked
Discretionary RAUM: $648M
Private client RAUM: $720Mderived••• Locked
Private client share: 97%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 5
RAUM per advisor: $148Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
T•••••• A•••• S•••••	Certified Financial Planner\|Chartered Financial Analyst	SAN DIEGO, CA	12	23	1	no
R••••• A•••• S••••	Certified Financial Planner\|Chartered Financial Consultant	SAN DIEGO, CA	12	31

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
S•••••• T••••••• A••••	SENIOR PARTNER AND CHIEF COMPLIANCE OFFICER	B	yes	01/2014	Dec 3, 2013	Feb 16, 2024
S••••• E•••• E•••••	SENIOR PARTNER	C	yes	01/2014	Dec 3, 2013	Feb 16, 2024

Regulatory AUM by fiscal year

••• Locked

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

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	1

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$742M	$638M	16.4%	$457M	17.5%	7	7	0	0

Relationships

Registered with (7)

← T••••• S•••Advisorregistration: current employment
Apr 21, 2021 to presentfactForm ADV
← E••• H••• Y•••••Advisorregistration: current employment
May 28, 2015 to presentfactForm ADV
← R••••• A•••• S••••Advisorregistration: current employment
Jan 23, 2014 to presentfactForm ADV
← E••• E••••• S••••

Dated events

Occurred
May 9, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Dec 3, 2013
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a1f96798-8126-4b26-fb17-10b0a89f2e0d
First observed: Dec 3, 2013
Last observed: Feb 26, 2026 6 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.