DFX Intelligence

Q••••••••• S••••••••• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM 100m 1b

Q••••••••• S••••••••• I•••

CRD 117908

CALABASAS, CA

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Search this name across graphsid dfx:ria:b9e13a79-1e0c-edb3-811c-617a1457a0a4

Data as of Mar 25, 2024 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 3:48 PM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 3
On other graphs: 0
Observed: Apr 2, 2012 to Mar 25, 2024
19 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: $172M••• Locked
Discretionary RAUM: $172M
Private client RAUM: $161Mderived••• Locked
Private client share: 93%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 2
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
P•••••• A•••• M•••••••••	PARENT / OWNER	E	yes	03/2012	Apr 2, 2012	Mar 25, 2024
R••••• M•••••• W••••••	OWNER, MANAGING MEMBER, PRESIDENT	D	yes	05/1985	Apr 2, 2012	Mar 25, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
P•••••• A•••• M••••••••• L••	n/a	Former SEC adviser	$320M	Y	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory 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
2023	$172M	$138M	24.8%	$128M	10.4%	2	2	0	0

Relationships

Affiliated with (2)

→ P•••••• A•••• M•••••••••Registered adviserother investment adviser, control, common control
factForm ADV
← P•••••• A•••• M•••••••••Registered adviserother investment adviser, control, common control
factForm ADV

Controls (2)

← P•••••• A•••• M•••••••••OwnerPARENT / OWNER, ownership code E, domestic entity
Apr 2, 2012 to presentfactForm ADV
← R••••• M•••••• W••••••Owner

Dated events

Occurred
May 2, 2025
Left the SEC roster
Q••••••••• S••••••••• I••• no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $172.1M)
Form ADVobserved 7 days ago
$172M
Occurred
Apr 29, 2025
Advisor changed firm
Morrie Wolbrum R•••• left Q••••••••• S••••••••• I••• for P•••••• A•••• M••••••••• (registered 2010-02-08)
Form ADVobserved 7 days ago
Occurred
Apr 29, 2025
Advisor changed firm
Paul Sueyuki Okawa left Q••••••••• S••••••••• I••• for Afa Advisor Services Llc (registered 2005-12-01)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b9e13a79-1e0c-edb3-811c-617a1457a0a4
First observed: Apr 2, 2012
Last observed: Mar 25, 2024 30 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.