DFX Intelligence

O•••••• F•••••••• C••••••••• I••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

O•••••• F•••••••• C••••••••• I••

CRD 110064

GRASS VALLEY, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:a3693aa2-f3bc-8f29-2c94-d45a35b0909e

Data as of Feb 3, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:33 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Feb 22, 2012 to Feb 3, 2026
30 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=0.94 fund_share=0.0 institutional_share=0.06 related_bd=false related_bank=false bd_reps=3.0
Regulatory AUM: $386M••• Locked
Discretionary RAUM: $386M
Private client RAUM: $363Mderived••• Locked
Private client share: 94%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $129Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
F•••••••• A••• F•••••	Certified Financial Planner	GRASS VALLEY, CA	8	28	1	yes
N••••• T••••• L•••••••	Chartered Financial Analyst	Grass Valley, CA	8	16

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
L•••••••• S•••• T••••	President	E	yes	07/2018	Jul 25, 2018	Feb 9, 2024
L••• P•••••••• A•••	CHIEF COMPLIANCE OFFICER	Na	no	01/2000	Jun 24, 2021	Feb 9, 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	1	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	$386M	$316M	22.4%	$251M	15.5%	9	10	0	0

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••	2	Nov 29, 2017	Jan 1, 2025	GRASS VALLEY, CA	Team lift out	Other	0.5%

Relationships

Registered with (4)

← S••• T•••• L•••••••Advisorregistration: current employment
Jan 1, 2025 to presentfactForm ADV
← N••••• T••••• L•••••••Advisorregistration: current employment
Jun 26, 2018 to presentfactForm ADV
← F•••••••• A••• F•••••Advisorregistration: current employment
Apr 6, 2018 to presentfactForm ADV
← K•••• A••••• H••••••

Dated events

Occurred
Jun 24, 2021
Control person left
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a3693aa2-f3bc-8f29-2c94-d45a35b0909e
First observed: Feb 22, 2012
Last observed: Feb 3, 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.