DFX Intelligence

P•••••• W••••• S••••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

P•••••• W••••• S••••••••• L••

CRD 289437

CALABASAS, CA

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Search this name across graphsid dfx:ria:c381a402-1ba0-74f6-2fdc-78b1bf9e9388

Data as of Feb 17, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:00 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 2
On other graphs: 0
Observed: Jul 31, 2017 to Feb 17, 2026
23 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=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=2.0
Regulatory AUM: $500M••• Locked
Discretionary RAUM: $0
Private client RAUM: $500Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 4
RAUM per advisor: $125Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
A•••• N•• M••••••••	n/a	CALABASAS, CA	9	32	n/a	yes
D•••••• J•••• L•••••••••	n/a	Calabasas, CA	9	34

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
L••••••••• D••••••• J••••	MANAGING MEMBER & CHIEF COMPLIANCE OFFICER	D	yes	09/2017	Jul 31, 2017	Jun 25, 2024
M••••••••• A••••• N••	MANAGING MEMBER	C	yes	09/2017	Jul 31, 2017	Jun 25, 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	1	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	$500M	$403M	24.0%	$295M	19.2%	5	4	0	0

Relationships

Registered with (4)

← E••• O••••• P••••••Advisorregistration: current employment
Apr 22, 2025 to presentfactForm ADV
← K••••••• V•••••• M•••••Advisorregistration: current employment
Apr 5, 2024 to presentfactForm ADV
← D•••••• J•••• L•••••••••Advisorregistration: current employment
Sep 5, 2017 to presentfactForm ADV
← A•••• N•• M••••••••

Dated events

Occurred
Feb 28, 2022
Regulatory AUM changed
P•••••• W••••• S••••••••• L•• reported RAUM $345.6M, up 47% from $235.0M (2021-02-03 to 2022-02-28)
Form ADVobserved 7 days ago
$111M
Occurred
Jul 31, 2017
First Form ADV filing
P•••••• W••••• S••••••••• L•• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c381a402-1ba0-74f6-2fdc-78b1bf9e9388
First observed: Jul 31, 2017
Last observed: Feb 17, 2026 7 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.