DFX Intelligence

Q•••••• F•••••••• A•••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

Q•••••• F•••••••• A•••••••• L••

CRD 317386

SANTA MONICA, 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:b0450bf3-23c9-b6e2-83a6-9601c4599227

Data as of Jun 5, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:17 AM UTC and rebuilt at most every 15 minutes.

Relationships: 29
Dated events: 5
On other graphs: 0
Observed: Dec 3, 2021 to Jun 5, 2026
18 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=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $1.5B••• Locked
Discretionary RAUM: $1.5B
Private client RAUM: $1.5Bderived••• Locked
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 15
RAUM per advisor: $98.9Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
D••••• G••••• G••••	Certified Financial Planner	SANTA MONICA, CA	4	26	2	no
D•••• A•••• D•••••	Certified Financial Planner	El Segundo, CA	4	21

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D•••••• D••••• A••••	Partner	B	yes	11/2021	Jun 5, 2026	Jun 5, 2026
E•••• J•••• D•••••	Partner	B	yes	02/2022	Jun 5, 2026	Jun 5, 2026
G••••• D•••••• G•••••

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
SANTA MONICA	CA	United States	3	no
Pasadena	CA	United States	1	no
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Jan 23, 2026

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	0	1	0.0%	1	0	0	7	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	$1.5B	$1.2B	20.7%	$816M	22.1%	16	16	4	4

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
A••••• W••••• P•••••••	5	Feb 22, 2022	Jul 3, 2025	SANTA MONICA, CA	Team lift out	RIA to new firm	12.8%
A••••• W••••• P•••••••	6	Jan 28, 2022	Jan 3, 2024

Relationships

Registered with (15)

← R•••••• A••••Advisorregistration: current employment
Jul 2, 2026 to presentfactForm ADV
← K••••••• H•••Advisorregistration: current employment
Jul 3, 2025 to presentfactForm ADV
← J••••••• V• M•••••••Advisorregistration: current employment
May 5, 2025 to presentfactForm ADV
← J•••••• L••••••••Advisor

Dated events

Occurred
Feb 14, 2025
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$258M
Occurred
Feb 22, 2022
Team lift-out
••• Locked
Form ADVobserved 7 days ago
5 advisors
Occurred
Jan 28, 2022
Team lift-out
••• Locked
Form ADVobserved 7 days ago
6 advisors
Occurred
Dec 14, 2021
Control person left

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b0450bf3-23c9-b6e2-83a6-9601c4599227
First observed: Dec 3, 2021
Last observed: Jun 5, 2026 3 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.