DFX Intelligence

G••••• F•••••••• A••••••• S•••••••• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserIndependent wealth managerSEC registeredRAUM 100m 1b

G••••• F•••••••• A••••••• S•••••••• I•••

CRD 135234

VALENCIA, CA

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Data as of Feb 25, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 2:24 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Oct 25, 2019 to Feb 25, 2026
12 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 managerderived••• Locked
Regulatory AUM: $259M••• Locked
Discretionary RAUM: $223M
Private client RAUM: $229Mderived••• Locked
Private client share: 88%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $86.4Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
P•••• M••••• G•••••••	Certified Financial Planner	VALENCIA, CA \| SHERMAN OAKS, CA	11	14	3	no
D•••• S•••• G•••••••	Certified Financial Planner	VALENCIA, CA \| SHERMAN OAKS, CA	9	39

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
G•••••••• D••••• S••••	PRESIDENT / CEO & CHIEF COMPLIANCE OFFICER; SHAREHOLDER	E	yes	03/1999	Oct 25, 2019	Feb 29, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
G••••• B••••••• M•••••••••	n/a	n/a	n/a	N	yes	n/a
G••••• T•• • A•••••••••	n/a	n/a	n/a	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
SHERMAN OAKS	CA	United States	3	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

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	$259M	$218M	18.7%	$154M	18.9%	3	3	1	1

Relationships

Registered with (4)

← B••••• J•••• B•••••Advisorregistration: current employment
Feb 7, 2018 to presentfactForm ADV
← D•••• S•••• G•••••••Advisorregistration: current employment
Apr 26, 2017 to presentfactForm ADV
← P•••• M••••• G•••••••Advisorregistration: current employment
Feb 23, 2015 to presentfactForm ADV
← J••••••• R• A•••••••

Dated events

Order

Occurred
1 Mar 2024
Advisor changed firm
••• Locked
Form ADV
Occurred
25 Oct 2019
First Form ADV filing
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Oct 25, 2019
Last observed: Feb 25, 2026 7 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.