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T•• W••••• M••••••••• A••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

T•• W••••• M••••••••• A••••••• L••

CRD 169026

SAN JOSE, 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:b3656c35-2d90-5719-e61c-f56d0623f732

Data as of Apr 2, 2018 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:18 AM UTC and rebuilt at most every 15 minutes.

Relationships: 16
Dated events: 1
On other graphs: 0
Observed: Oct 7, 2013 to Apr 2, 2018
3 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
Regulatory AUM: $99.2MItem 5.F on the latest filing (2018-04-02); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
Private client RAUM: $72.1MderivedItem 5.D individuals plus high net worth individuals
Private client share: 73%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••••• L••••• W••• L••	Shareholder	D	yes	08/2008	Oct 7, 2013	Apr 2, 2018
C••••••• M••••••• R••	CHIEF FINANCIAL OFFICER	Na	yes	07/2013	Oct 7, 2013

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
L•• F•••••••• I•••	n/a	Former SEC adviser	$17B	N	yes	n/a
W•••• R•••• P••••• W••••• M••••••••• L••	n/a	Independent wealth	$1.4B	Y	no

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
MT. PLEASANT	Sc	United States	2	no

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
F•••• A•••••• S••••••••• L••	4	Jan 8, 2019	Jan 8, 2019	SAN JOSE, CA	Firm absorbed	RIA to ibd	100.0%

Teams in

teams that arrived here from one firm together

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
L•• F•••••••• I•••	2	Jan 8, 2019	Jan 7, 2014	SAN JOSE, CA	Channel change	Ibd to RIA	66.7%

Relationships

Affiliated with (3)

→ L•• F•••••••• I•••Registered adviserother investment adviser, common control
factForm ADV
→ W•••• R•••• P••••• W••••• M••••••••• L••Registered adviserother investment adviser, insurance company, control
factForm ADV
← L•• F•••••••• I•••Registered adviserother investment adviser, common control
factForm ADV

Controls (6)

← P••••• A••••••••• B••••••Owner

Dated events

Occurred
Oct 7, 2013
First Form ADV filing
T•• W••••• M••••••••• A••••••• L•• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b3656c35-2d90-5719-e61c-f56d0623f732
First observed: Oct 7, 2013
Last observed: Apr 2, 2018 103 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.