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CRD 319128
BEVERLY HILLS, 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.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| W••••• H••••• G•••• | n/a | BEVERLY HILLS, CA | 3 | 33 | 2 | no |
| H••••• W•••••• A••••• | n/a | BEVERLY HILLS, CA | 3 | 33 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| A•••••• H•••••• W•••••• | MANAGER AND CHAIRMAN | Na | yes | 10/2004 | May 6, 2026 | May 6, 2026 |
| B•••••• C••••• S•••• | Secretary | Na | yes | 10/2004 | May 6, 2026 | May 6, 2026 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| M•••••• A••••• F•••••••• S••••••••• L•• | n/a | Asset manager | $2.1B | N | yes | n/a |
| K•••••• C•••••• M••••••••• L•• | n/a | Independent wealth | $1.8B | N | yes | n/a |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 31, 2026 |
| 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 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $2.3B | $1.8B | 28.1% | n/a | n/a | 89 | 89 | 0 | 0 |
| no |
| C•••• S•••• B••••• | n/a | BEVERLY HILLS, CA | 3 | 33 | 2 | no |
| Z•• A•• L••••••• | n/a | BEVERLY HILLS, CA | 3 | 21 | 1 | no |
| B•••• K•••••• D•••••• | n/a | BEVERLY HILLS, CA | 2 | 26 | 3 | yes |
| M•••••• P••••••••• | n/a | BEVERLY HILLS, CA | 2 | 10 | n/a | no |
| E•••••• H••••••••• T••••••• | n/a | BEVERLY HILLS, CA | 0 | 15 | n/a | no |
| K•• I•••••• | n/a | BEVERLY HILLS, CA | 0 | 26 | 3 | no |
| CHIEF COMPLIANCE OFFICER |
| Na |
| yes |
| 01/2024 |
| May 6, 2026 |
| May 6, 2026 |
| G•••• T••• B••••• • A•••••• I••• | Member | A | yes | 02/2004 | May 6, 2026 | May 6, 2026 |
| G••••• W•••••• H••••• | PRESIDENT AND MANAGER | Na | yes | 04/2004 | May 6, 2026 | May 6, 2026 |
| G••• G••••• L•• | Member | C | yes | 02/2010 | May 6, 2026 | May 6, 2026 |
| H•••••••• H••••••• L•• | Member | D | yes | 12/2021 | May 6, 2026 | May 6, 2026 |
| A••••• F••••• T•••• O• 2••• • H••••• • L••• A••••• T••••••• | MEMBER CLASS A | C | yes | 12/2010 | Nov 25, 2022 | Mar 28, 2024 |
| M••••• R••••• L••• | COMPLIANCE OFFICER | Na | yes | 11/2022 | Nov 25, 2022 | Mar 28, 2024 |
| T•• H• S••• L• | Partner | C | yes | 11/2020 | Nov 25, 2022 | Mar 28, 2024 |
| D•••• A•••• M••••••••• L•• | n/a | Independent wealth | $1.5B | N | yes | n/a |
| H••••• I••••••••• C••••••• L•• | n/a | Independent wealth | $1.0B | N | yes | n/a |
| W••••••••• A••••• L•• | n/a | Independent wealth | $900M | N | yes | n/a |
| D••••••• S•••••• • C••• L•• | n/a | Independent wealth | $707M | N | yes | n/a |
| T•• R••••• G••••• L•• | n/a | Former SEC adviser | $72.2M | N | yes | n/a |
| H•••••••• S••••••••• L•• | n/a | n/a | n/a | N | yes | n/a |
| H•••••••• T•••• S••••••• N••• | n/a | n/a | n/a | N | yes | n/a |
| $2.3B |
| $2.0B |
| 89 |
| 7 |
| 0 |
| n/a |
| n/a |
| 2024 | Mar 31, 2025 | $1.8B | $1.4B | 89 | 6 | 0 | n/a | n/a |
| 2023 | Mar 28, 2024 | $1.7B | $1.4B | 86 | 7 | 0 | n/a | n/a |