DFX Intelligence
Reading the graph
Reading the graph
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
CRD 125650
ANAHEIM, 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.
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| A••••• J••••••• J•••• | Chairman | Na | yes | 10/2017 | May 2, 2018 | Jul 27, 2022 |
| L••• C•••• | Finop | Na | yes | 02/2008 | May 2, 2018 | Jul 27, 2022 |
| N•••• D•••• L••• R••••• |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| C••• F•••••••• S•••••••• L••• | n/a | Former SEC adviser | $5.4B | N | no | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Hawthorne | CA | United States | 2 | yes |
| LA HABRA | CA | United States | 2 | yes |
| SIGNAL HILL | CA | United States | 2 | yes |
| Torrance | CA | United States | 2 | yes |
| Anaheim | CA | United States |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2021 | Mar 31, 2022 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2021 | $226M | $193M | 17.0% | $137M | 18.2% | 31 | 31 | 26 | 26 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| C••• F•••••••• S•••••••• L••• | 21 | Feb 6, 2023 | Jan 16, 2023 | ANAHEIM, CA | Firm absorbed | RIA to ibd | 100.0% |
| Cco |
| Na |
| yes |
| 02/2020 |
| Nov 24, 2020 |
| Jul 27, 2022 |
| P••••• K•••• B•••• | Director | Na | yes | 10/2009 | May 2, 2018 | Jul 27, 2022 |
| W••••• C•••••• C••••• U•••• | Shareholder | E | yes | 05/2017 | May 2, 2018 | Jul 27, 2022 |
| W•••••••• D••••• | Director | Na | yes | 10/2003 | May 2, 2018 | Jul 27, 2022 |
| yes |
| Anaheim | CA | United States | 1 | yes |
| Corona | CA | United States | 1 | yes |
| COSTA MESA | CA | United States | 1 | yes |
| CULVER CITY | CA | United States | 1 | yes |
| Irvine | CA | United States | 1 | yes |
| LAGUNA NIGUEL | CA | United States | 1 | yes |
| LOS ANGELES | CA | United States | 1 | yes |
| Ontario | CA | United States | 1 | yes |
| Orange | CA | United States | 1 | yes |
| Oxnard | CA | United States | 1 | yes |
| Palmdale | CA | United States | 1 | yes |
| Pasadena | CA | United States | 1 | yes |
| Pasadena | CA | United States | 1 | yes |
| Redlands | CA | United States | 1 | yes |
| Riverside | CA | United States | 1 | yes |
| SHERMAN OAKS | CA | United States | 1 | yes |
| SIMI VALLEY | CA | United States | 1 | yes |
| STEVENSON RANCH | CA | United States | 1 | yes |
| THOUSAND OAKS | CA | United States | 1 | yes |
| Tustin | CA | United States | 1 | yes |
| WEST COVINA | CA | United States | 1 | yes |
| $226M |
| $0 |
| 31 |
| 18 |
| 26 |
| n/a |
| n/a |
| 2020 | Mar 31, 2021 | $193M | $0 | 31 | 18 | 26 | n/a | n/a |
| 2019 | Mar 30, 2020 | $172M | $0 | 18 | 18 | 26 | n/a | n/a |
| 2018 | Mar 18, 2019 | $137M | $0 | 36 | 22 | 25 | n/a | n/a |