DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

R••••• F••••••••

CRD 133658

SAN DIEGO, 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:b1380b30-af4c-bd7f-7439-6c9a2b54fb75

Data as of Feb 5, 2021 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:53 PM UTC and rebuilt at most every 15 minutes.

Relationships: 15
Dated events: 3
On other graphs: 0
Observed: Jan 31, 2012 to Feb 5, 2021
15 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: former SEC adviserderivedabsent from the latest SEC roster
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Employees: 4
Advisory employees: 2
Offices: 0Schedule D 1.F, beyond the principal office
SEC number: 801-113975
CRD: 133658

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
P•••••• F••••• T••••	Shareholder	D	yes	07/2010	Feb 27, 2020	Feb 5, 2021
P••••••• S•••••• W•	Trustee	E	yes	07/2010	Jan 31, 2012	Feb 5, 2021

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2020	Jan 28, 2021

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2020	n/a	$138M	n/a	n/a	n/a	4	5	0	0

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
A•••••• A••••••• S•••••••	2	Dec 31, 2020	Oct 25, 2019	SAN DIEGO, CA	Team lift out	Other	100.0%

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
1•• G••••• A••••••• I••	4	Oct 24, 2019	Jan 28, 2016	SAN DIEGO, CA	Team lift out	Ibd to RIA	0.7%

Relationships

Controls (4)

← S•••••• S•••• P•••OwnerTRUSTEE, ownership code E, individual
Aug 13, 2018 to presentfactForm ADV
← P••••••• S•••••• W•OwnerTRUSTEE, ownership code E, individual
Jan 31, 2012 to presentfactForm ADV
← P•••••• F••••• T••••OwnerSHAREHOLDER, ownership code D, domestic entity
Feb 27, 2020 to presentfactForm ADV
← S••••• F••••• T••••OwnerSHAREHOLDER, ownership code C, domestic entity
Feb 27, 2020 to presentfact

Dated events

Occurred
Jun 30, 2022
Advisor departed, no destination yet
Sean Paul Storck no longer registered at R••••• F••••••••; no later IA registration on IAPD
Form ADVobserved 7 days ago
Occurred
Jun 30, 2022
Advisor departed, no destination yet
Steven W Pollock no longer registered at R••••• F••••••••; no later IA registration on IAPD
Form ADVobserved 7 days ago
Occurred
Aug 13, 2018
First Form ADV filing
R••••• F•••••••• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b1380b30-af4c-bd7f-7439-6c9a2b54fb75
First observed: Jan 31, 2012
Last observed: Feb 5, 2021 68 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.