DFX Intelligence

Z•••••• W••••• P•••••••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserIndependent wealth managerSEC registeredRAUM 100m 1b

Z•••••• W••••• P•••••••

Z•••••• W••••• P••••••• LLC, CRD 105736

SAN D••••, CA

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Data as of Jul 24, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 3:13 AM UTC and rebuilt at most every 15 minutes.

Relationships: 29
Dated events: 24
On other graphs: 0
Observed: Apr 2, 2012 to Jul 24, 2026
50 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: $158M••• Locked
Discretionary RAUM: $158M
Private client RAUM: $153Mderived••• Locked
Private client share: 97%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $52.8Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
L•••• D•••• D••••••	n/a	Wilmington, NC \| SAN D••••, CA	1	39	10	no
A••••• M••••••• J•••••	n/a	SAN D••••, CA	0	16

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D••••••• L••••• D••••	Partner	C	yes	01/2018	Jun 30, 2020	Jul 3, 2024
D••••••• L••••• D••••	CEO & CHIEF COMPLIANCE OFFICER	Na	yes	06/2020	Jun 30, 2020	Jul 3, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
W•• O• S•• D••••• L••	n/a	Independent wealth	$207M	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Wilmington	Nc	United States	3	no

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
1	2	-1	66.7%	0	0	0	2	5

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	$158M	$116M	36.5%	$90.8M	20.4%	6	6	1	1

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
F••••••	2	Apr 2, 2026	Apr 2, 2026	WILMINGTON, NC	Team lift out	RIA to RIA	50.0%

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
H••••• R••••	2	Jul 19, 2021	Jul 20, 2021	CHARLOTTE, NC	Team lift out	RIA to RIA	16.7%

Relationships

Affiliated with (4)

← W•• O• S•• D••••Registered adviserother investment adviser, common control
factForm ADV
→ W•• O• S•• D••••Registered adviserother investment adviser, common control
factForm ADV
← M•••• C••••••• L••Registered adviserother investment adviser, common control
factForm ADV
← H••••• R••••Registered adviserother investment adviser, common control

Dated events

2 bookkeeping events (roster, classification and holdings changes) folded below

Order

Occurred
24 Jul 2026
Ria principal change2 events
Z•••••• W••••• P•••••••: ria principal change, 2 events, on 24 Jul 2026
- ••• Locked
- ••• Locked
Occurred
24 Jul 2026
Ria indirect owner change
••• Locked
Form ADV
Occurred
2 Apr 2026
Advisor changed firm2 events
Advisor changed firm: 2 on 2 Apr 2026
- ••• Locked
- ••• Locked
Occurred
2 Apr 2026
Team lift-out
••• Locked
Form ADV
2 advisors
Occurred
17 May 2024
Advisor changed firm2 events
Z•••••• W••••• P•••••••: advisor changed firm, 2 counterparties, on 17 May 2024
- ••• Locked
- ••• Locked

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Apr 2, 2012
Last observed: Jul 24, 2026 2 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.

All 15 rows

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Mar 1, 2016	$251M	$227M	8	5	n/a	n/a	n/a
2014	Mar 17, 2015	$257M	$237M	8	5	n/a	n/a	n/a
2013	Mar 27, 2014	$231M	$212M	8	5	n/a	n/a	n/a
2012	Apr 1, 2013	$199M	$183M	8	5	n/a	n/a	n/a
2011	Apr 2, 2012	$188M	$178M	n/a	n/a	n/a	n/a	n/a