DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 10b 100b

C••••• A•••••• N••••••• L••

CRD 13572

EL SEGUNDO, 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:b9b00073-2347-eb2f-cb00-899910f0062a

Data as of Jun 4, 2023 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:46 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2,193
Dated events: 40
On other graphs: 2
Observed: Mar 28, 2012 to Jun 4, 2023
156 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

C••••• A•••••• N••••••• L••

Intermediary · shared crd

Allocatorsidentity

C••••• A•••••• N••••••• L••

Investment consultant · shared crd

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: $47B••• Locked
Discretionary RAUM: $38B
Private client RAUM: $45Bderived••• Locked
Private client share: 96%derivedprivate client RAUM over total RAUM
A••••••s on IAPD: 0
Employees: 2,881

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••• G••••• I•••	SOLE MEMBER	E	yes	04/2014	Jun 10, 2016	Jun 4, 2023
B••••••••• J•••••• R•••••	CHIEF FINANCIAL OFFICER	Na	yes	05/2021	May 7, 2021	Jun 4, 2023

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C••••• I••••••••• A••••••• L••	n/a	Bd affiliated wealth	$257B	N	yes	n/a
C••••• A••••••• L••	n/a	Former SEC adviser	$22B	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
LOS ANGELES	CA	United States	26	yes
Scottsdale	Az	United States	19	yes
LONG BEACH	CA	United States	18	yes
Minnetonka	Mn	United States	18	yes
Cleveland	Oh	United States

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	A••••••y staff	Offices	Private funds	Fund GAV

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2022	$47B	$50B	-7.2%	$26B	21.8%	2,881	2,867	889	889

Teams out

••• Locked

Other firm	A••••••s	First left	Last joined	From	Kind	Move type	Share of firm
A••••••••• W••••• P•••••••	6	Jun 29, 2023	Oct 26, 2022	LAKE ELMO, MN	Team lift out	Ibd to RIA	1.6%
A••••••••• W••••• P•••••••	2	Jun 29, 2023	Apr 7, 2021

Teams in

••• Locked

Other firm	A••••••s	First left	Last joined	From	Kind	Move type	Share of firm
C••• L••	2	Oct 17, 2024	Aug 6, 2019	OMAHA, NE	Team lift out	Ibd to ibd	0.4%
C••• L••	2	Jun 6, 2024	Apr 9, 2018

Relationships

showing 80 of 2,193

Affiliated with (24)

← C••••• P••••••• P•••••••Registered adviserbroker-dealer, common control
factForm ADV
← C••••• I••••••••• A••••••• L••Registered adviserbroker-dealer, common control
factForm ADV
← C••••• I••••••••• M••••••••• L••Registered adviserbroker-dealer, common control
factForm ADV
← C••••• A••••••• S••••••• L••Registered adviser

Dated events

Occurred
Oct 17, 2024
Team lift-out
••• Locked
Form ADVobserved 6 days ago
2 advisors
Occurred
Jun 6, 2024
Team lift-out
••• Locked
Form ADVobserved 7 days ago
2 advisors
Occurred
Oct 27, 2023
Team lift-out
••• Locked
Form ADVobserved 7 days ago
2 advisors
Occurred
Jun 30, 2023
A•••••• firm change

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b9b00073-2347-eb2f-cb00-899910f0062a
First observed: Mar 28, 2012
Last observed: Jun 4, 2023 40 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.

Controls (20)

← B••••••••• J•••••• R•••••OwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
May 7, 2021 to presentfactForm ADV
← M•••••••• P••••••• R•••••••••OwnerBROKER DEALER CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 14, 2019 to presentfactForm ADV
← G••• L••• A•••OwnerSECRETARY, ownership code NA, individual
May 27, 2021 to presentfactForm ADV
← C•••••• K••• S•••OwnerVICE PRESIDENT, ownership code NA, individual
May 7, 2021 to presentfactForm ADV
← H•••••••• K••••••••OwnerCHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER, ownership code NA, individual
Mar 15, 2023 to presentfactForm ADV
← T•••••• T••••• B••••OwnerMANAGER AND CHIEF EXECUTIVE OFFICER, ownership code NA, individual
Mar 28, 2012 to presentfactForm ADV
← S••••••• T•••••• E••• M••••OwnerPRESIDENT, ownership code NA, individual
May 7, 2021 to presentfactForm ADV
← N••••• J••••• D•••••OwnerMANAGER AND VICE PRESIDENT, ownership code NA, individual
Feb 28, 2018 to presentfactForm ADV
← S•••••• S•••••• R•••••OwnerVICE PRESIDENT, ownership code NA, individual
Mar 28, 2012 to presentfactForm ADV
← S••••• T•••••• P••••••OwnerVICE PRESIDENT, ownership code NA, individual
Mar 17, 2017 to presentfactForm ADV
← H••••• K••••• M••••OwnerA••••••Y CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Nov 24, 2015 to presentfactForm ADV
← G•••••• T••••• A•••••OwnerMANAGER, ownership code NA, individual
May 7, 2021 to presentfactForm ADV
← M••••••••• M•••• R••OwnerCHIEF ACCOUNTING OFFICER, ownership code NA, individual
May 7, 2021 to presentfactForm ADV
← C••••••• G••• L•••OwnerTAX OFFICER, ownership code NA, individual
May 7, 2021 to presentfactForm ADV
← V•• H••••••••• D•••• J••••OwnerASSISTANT SECRETARY, ownership code NA, individual
May 27, 2021 to presentfactForm ADV
← D•••••• R••••• C•••••••OwnerPRINCIPAL FINANCIAL OFFICER, ownership code NA, individual
Mar 15, 2023 to presentfactForm ADV
← L••• W••••• A••••••OwnerASSISTANT SECRETARY, ownership code NA, individual
Jun 3, 2022 to presentfactForm ADV
← A••••• G••••• I•••OwnerSOLE MEMBER, ownership code E, domestic entity
Jun 10, 2016 to presentfactForm ADV
← C••••• F•••••••• G••••• I•••OwnerSOLE MEMBER, ownership code E, domestic entity
Mar 28, 2012 to presentfactForm ADV
← C••••• F•••••••• H•••••••• I•••OwnerSHAREHOLDER; 100% OF COMMON STOCK, ownership code E, domestic entity
Mar 28, 2012 to presentfactForm ADV

Registered with (27)

← John Chistopher EmigAdvisorregistration: previous registration
Dec 15, 2022 to Jun 30, 2023factForm ADV
← P•••••• FRANCIS MADISONAdvisorregistration: previous registration
Mar 31, 2021 to Jun 30, 2023factForm ADV
← RYAN SCOTT MANAKERAdvisorregistration: previous registration
May 6, 2008 to Jun 30, 2023factForm ADV
← DENNIS DONALD MORITAAdvisorregistration: previous registration
Sep 1, 2000 to Jun 30, 2023factForm ADV
← JOA••• VERA MCKNIGHTAdvisorregistration: previous registration
Jun 22, 2023 to Jun 30, 2023factForm ADV
← LORI SUSALLA OANCEAAdvisorregistration: previous registration
Jun 9, 2021 to Jun 30, 2023factForm ADV
← KENNETH GREGORY BARNESAdvisorregistration: previous registration
Mar 12, 2014 to Jun 30, 2023factForm ADV
← Edward Joseph PetersmarckAdvisorregistration: previous registration
Sep 1, 2021 to Jun 30, 2023factForm ADV
← ERIN LITTLEAdvisorregistration: previous registration
Apr 22, 2022 to Jun 30, 2023factForm ADV
← SCOTT VINCENT KAUPAdvisorregistration: previous registration
Mar 22, 2021 to Jun 29, 2023factForm ADV
← MICHAEL R••••• LANGERAdvisorregistration: previous registration
Jun 9, 2021 to Jun 29, 2023factForm ADV
← JOHN WARREN HARDYAdvisorregistration: previous registration
May 20, 2021 to Jun 29, 2023factForm ADV
← D•••• OLIVER CASHDOLLARAdvisorregistration: previous registration
Sep 3, 2013 to Jun 29, 2023factForm ADV
← Charles WurdackAdvisorregistration: previous registration
Jul 26, 2022 to Jun 29, 2023factForm ADV
← Thomas Norman ZirbelAdvisorregistration: previous registration
Oct 5, 2021 to Jun 29, 2023factForm ADV
← JOHN CARTER DOWNINGAdvisorregistration: previous registration
Sep 14, 2001 to Jun 29, 2023factForm ADV
← KAREN RAE HAMMONDAdvisorregistration: previous registration
Jun 9, 2021 to Jun 29, 2023factForm ADV
← STEVEN CHARLES ENDERSAdvisorregistration: previous registration
Apr 17, 2021 to Jun 29, 2023factForm ADV
← JOEL KENT WILKINSONAdvisorregistration: previous registration
Apr 20, 2022 to Jun 29, 2023factForm ADV
← Ann Marie Doty-MitchellAdvisorregistration: previous registration
Jun 7, 2013 to Jun 29, 2023factForm ADV
← RANDY MARK BREIDBARTAdvisorregistration: previous registration
Feb 22, 2019 to Jun 29, 2023factForm ADV
← JOCK WILLIAMS BOVINGTONAdvisorregistration: previous registration
Jun 10, 2009 to Jun 29, 2023factForm ADV
← BARNETT D•••• HELLENBRANDAdvisorregistration: previous registration
Jun 26, 2017 to Jun 29, 2023factForm ADV
← JOAN MAASTRICHT GILLESAdvisorregistration: previous registration
Jan 30, 2015 to Jun 29, 2023factForm ADV
← JULIE ANN MEYERAdvisorregistration: previous registration
Jan 8, 2014 to Jun 29, 2023factForm ADV
← MARY BETH NORRISAdvisorregistration: previous registration
May 20, 2021 to Jun 29, 2023factForm ADV
← STEVEN CRAIG HENNINGSONAdvisorregistration: previous registration
Aug 12, 2004 to Jun 29, 2023factForm ADV