DFX Intelligence

C•• N••••• 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

C•• N••••• A•••••••• L••

CRD 292300

LOS ANGELES, CA

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Search this name across graphs

Data as of Aug 1, 2018 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:32 PM UTC and rebuilt at most every 15 minutes.

Relationships: 24
Dated events: 1
On other graphs: 0
Observed: Mar 29, 2018 to Aug 1, 2018
2 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: $51.4M••• Locked
Discretionary RAUM: $51.4M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 494

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••••• T•••••• J•••••	Chairman	Na	yes	08/2017	Mar 29, 2018	Aug 1, 2018
C•• A•••••• H•••••••• L••	Member	E	yes	03/2017	Mar 29, 2018	Aug 1, 2018

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
D•••••• C••••• M••••••••• L••	n/a	Asset manager	$61B	N	yes	n/a
C••• M••••••• L••	n/a	Former SEC adviser	$6.2B	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
NEW YORK	NY	United States	37	no
Dallas	TX	United States	22	no
Boston	Ma	United States	9	no
Irvine	CA	United States	2	no

Relationships

Affiliated with (8)

→ C••••• C•••••• I••••••••• A•••••••• L••Registered adviserother investment adviser, control
factForm ADV
→ C•••• C••••• M••••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ C•• R••• A•••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ C•• T••• A•••••••• L••Registered adviserother investment adviser, common control

Dated events

Order

Occurred
29 Mar 2018
First Form ADV filing
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 29, 2018
Last observed: Aug 1, 2018 99 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.

All 16 rows

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••• C••••••• I•••	Member	E	yes	01/2017	Aug 1, 2018	Aug 1, 2018
H•••••••• M•••• M•••••	VICE PRESIDENT	Na	yes	08/2017	Mar 29, 2018	Aug 1, 2018
S•••••••• R••••••• B••••	CHIEF EXECUTIVE OFFICER	Na	yes	08/2017	Mar 29, 2018	Aug 1, 2018
S••••••• R•••••• M•••	VICE PRESIDENT AND SECRETARY	Na	yes	08/2017	Mar 29, 2018	Aug 1, 2018
T•••••• D•••••• J••••	VICE PRESIDENT AND TREASURER	Na	yes	08/2017	Mar 29, 2018	Aug 1, 2018
W••••••• K••••••• A••	CHIEF COMPLIANCE OFFICER	Na	yes	03/2017	Mar 29, 2018	Aug 1, 2018

All 40 rows

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C•• N•• A•••••••• L••	n/a	n/a	n/a	N	yes	n/a
C•• N••• A•••••••• L••	n/a	n/a	n/a	N	yes	n/a
C•• N•• A•••••••• L••	n/a	n/a	n/a	N	yes	n/a
C•• O•• C•• P•••• G•• L••	n/a	n/a	n/a	N	yes	n/a
C•• O•• C•• P•••• I••••••••• A••••••• L••	n/a	n/a	n/a	N	yes	n/a
C•• I••••• I•••• S•••••	n/a	n/a	n/a	N	yes	n/a
C••••••••• G•• L••	n/a	n/a	n/a	N	yes	n/a
C•••••• S•••••••• P••••••• I••• L••	n/a	n/a	n/a	N	yes	n/a
C•••••• S•••••••• P•••••••• L••	n/a	n/a	n/a	N	yes	n/a
C••••• C••••• G•••••• P••••••• L••	n/a	n/a	n/a	N	yes	n/a
C•••••• S•••••••• P•••••••• L••	n/a	n/a	n/a	N	yes	n/a
C••••• A••• C••••••••• G•••••• L••	n/a	n/a	n/a	N	yes	n/a
C••••• B•••• C••••••••• G•••••• L••	n/a	n/a	n/a	N	yes	n/a
C••••• C•••••• ••••••••• N•••• V•••• L••	n/a	n/a	n/a	N	yes	n/a
C••••• C•••••• ••••••••• V•••• L••	n/a	n/a	n/a	N	yes	n/a
C••••• C•••••• ••• V•••• L••	n/a	n/a	n/a	N	yes	n/a
C••••• C•••••• A•••••••• L••	n/a	n/a	n/a	N	yes	n/a
C••••• C•••••• C••••• I•• L•••	n/a	n/a	n/a	N	yes	n/a
C••••• C•••••• C••••• I••• L•••	n/a	n/a	n/a	N	yes	n/a
C••••• C•••••• C••••• I•• L••	n/a	n/a	n/a	N	yes	n/a
C••••• C•••••• C•••••• L•••	n/a	n/a	n/a	N	yes	n/a
C••••• C•••••• F•••• F••• G•• L••	n/a	n/a	n/a	N	yes	n/a
C••••• C•••••• I••• L•••	n/a	n/a	n/a	N	yes	n/a
C••••• C•••••• I•• L•••	n/a	n/a	n/a	N	yes	n/a
C••••• C•••••• L••••••••• S•••••••	n/a	n/a	n/a	N	yes	n/a
C••••• C•••••• M•••• L••	n/a	n/a	n/a	N	yes	n/a
C••••• C•••••• N• • L••••••••• S•••••••	n/a	n/a	n/a	N	yes	n/a
C••••• C•••••• S••	n/a	n/a	n/a	N	yes	n/a
C••••• C•••••• U•• L•••	n/a	n/a	n/a	N	yes	n/a
C••••• C•••••• V• L•••	n/a	n/a	n/a	N	yes	n/a