DFX Intelligence

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

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RIA / WealthRegistered adviserinstitutional managerSEC registeredRAUM 1b 10b

N•••• P••• F•••••••• M••••••••• L••

CRD 148128

MARINA DEL REY, CA

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Search this name across graphsid dfx:ria:a30a0d92-cea0-b8f8-29d6-5c265c1b6d72

Data as of Apr 29, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:39 AM UTC and rebuilt at most every 15 minutes.

Relationships: 20
Dated events: 2
On other graphs: 1
Observed: Apr 3, 2012 to Apr 29, 2026
27 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Allocatorsidentity

N•••• P••• F•••••••• M••••••••• L••

Investment consultant · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: institutional managerderivedprivate_client_share=0.06 fund_share=0.0 institutional_share=0.94 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $1.3B••• Locked
Discretionary RAUM: $893M
Private client RAUM: $80.4Mderived••• Locked
Private client share: 6%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 7
RAUM per advisor: $182Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
F•••• D••••• S•••••••	Certified Financial Planner	MARINA DEL REY, CA	4	26	2	no
V•••••• J•••••••• E•••••••••	n/a	MARINA DEL REY, CA	0	12

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
G••••••• B••••• J••••••	MEMBER AND CHIEF COMPLIANCE OFFICER	D	yes	10/2008	Apr 3, 2012	Mar 29, 2024
S••••••••• J••••• I••	Member	D	yes	10/2008	Apr 3, 2012	Mar 29, 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	0

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	$1.3B	$1.1B	15.4%	$1.5B	-5.7%	15	12	0	0

Relationships

Registered with (8)

← J•••• I•• S•••••••••Advisorregistration: previous registration
Mar 26, 2021 to Dec 31, 2025factForm ADV
← G•••••• D••• M••••••Advisorregistration: previous registration
Mar 26, 2021 to Dec 31, 2025factForm ADV
← B•••• J•••••• G••••••Advisorregistration: previous registration
Mar 26, 2021 to Dec 31, 2025factForm ADV
← M•••• H••••

Dated events

Occurred
Mar 29, 2024
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$-493M
Occurred
Mar 26, 2021
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$962M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a30a0d92-cea0-b8f8-29d6-5c265c1b6d72
First observed: Apr 3, 2012
Last observed: Apr 29, 2026 4 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.