DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

C••••• A••••••• G••••• L••

CRD 151695

SANTA BARBARA, 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:bd519578-d287-b6ca-83c1-15abc822f835

Data as of Apr 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:49 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 3
On other graphs: 0
Observed: Feb 26, 2015 to Apr 15, 2026
20 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=0.74 fund_share=0.0 institutional_share=0.23 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $574M••• Locked
Discretionary RAUM: $572M
Private client RAUM: $423Mderived••• Locked
Private client share: 74%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $191Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
R••• E••• C•••••	n/a	SANTA BARBARA, CA	16	29	2	no
J••••• D• H••••	Certified Financial Planner	SANTA BARBARA, CA	8	17

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••••• R•••• E•••	MANAGING MEMBER/PRINCIPAL	D	yes	08/2009	Feb 26, 2015	Mar 6, 2024
H••••• J•••••• D•	MEMBER/CCO	C	yes	01/2021	Mar 22, 2022	Mar 6, 2024

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	$574M	$485M	18.3%	$322M	21.2%	3	3	0	0

Relationships

Registered with (3)

← D•••• B•••••• G••••Advisorregistration: current employment
May 9, 2023 to presentfactForm ADV
← J••••• D• H••••Advisorregistration: current employment
Jun 13, 2018 to presentfactForm ADV
← R••• E••• C•••••Advisorregistration: current employment
Jan 7, 2010 to presentfactForm ADV

Controls (2)

Dated events

Occurred
Mar 22, 2022
Regulatory AUM changed
••• Locked
Form ADVobserved 7 days ago
$121M
Occurred
Mar 22, 2022
Control person joined
••• Locked
Form ADVobserved 7 days ago
Occurred
Feb 26, 2015
First Form ADV filing
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:bd519578-d287-b6ca-83c1-15abc822f835
First observed: Feb 26, 2015
Last observed: Apr 15, 2026 5 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.