DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

H••••••••• C•••••• A•••••••• L••

CRD 226760

PALM DESERT, CA

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Search this name across graphsid dfx:ria:b5aaa515-f6ae-55bf-1e91-f4169ade5d99

Data as of Mar 23, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:51 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Nov 3, 2017 to Mar 23, 2026
25 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=0.92 fund_share=0.0 institutional_share=0.08 related_bd=false related_bank=false bd_reps=1.0
Regulatory AUM: $206M••• Locked
Discretionary RAUM: $206M
Private client RAUM: $190Mderived••• Locked
Private client share: 92%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $103Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
M••••• A••• M••••••	Certified Financial Planner	PALM DESERT, CA	11	28	3	yes
J•••• E••••• E•••••	n/a	Oxnard, CA \| PALM DESERT, CA	9	18

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
H•• H••••••• C•••	Member	E	yes	05/2016	Nov 27, 2017	Mar 28, 2024
M••••••• M•••••• A•••	PRESIDENT/CEO/SECRETARY/CFO/DIRECTOR/OWNER	E	yes	05/2016	Nov 3, 2017	Mar 28, 2024

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Oxnard	CA	United States	3	yes
Torrance	CA	United States	2	yes

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

Advisor flows

••• Locked

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	0	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	$206M	$192M	7.2%	$160M	8.7%	2	2	2	2

Relationships

Registered with (2)

← J•••• E••••• E•••••Advisorregistration: current employment
Jun 15, 2017 to presentfactForm ADV
← M••••• A••• M••••••Advisorregistration: current employment
Sep 2, 2015 to presentfactForm ADV

Controls (2)

← M••••••• M•••••• A•••OwnerPRESIDENT/CEO/SECRETARY/CFO/DIRECTOR/OWNER, ownership code E, individual
Nov 3, 2017 to Mar 28, 2024factForm ADV
← H•• H••••••• C•••

Dated events

Occurred
Dec 15, 2021
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Nov 3, 2017
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b5aaa515-f6ae-55bf-1e91-f4169ade5d99
First observed: Nov 3, 2017
Last observed: Mar 23, 2026 6 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.