DFX Intelligence

G••••• G••• P••••••• F•••••••• P•••••••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

G••••• G••• P••••••• F•••••••• P•••••••

CRD 132264

SAN FRANCISCO, CA

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Search this name across graphsid dfx:ria:c4afa147-59bc-8993-103d-ba17669006be

Data as of Feb 11, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 5:32 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 0
Observed: Feb 25, 2022 to Feb 11, 2026
6 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=false related_bank=false bd_reps=0.0
Regulatory AUM: $196M••• Locked
Discretionary RAUM: $196M
Private client RAUM: $196Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor: $196Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
S••• L••• E•••••••	Certified Financial Planner	SAN FRANCISCO, CA	0	22	n/a	no

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
E•••••••• S•••• L•••	PRINCIPAL, CHIEF COMPLIANCE OFFICER	E	yes	06/2004	Feb 25, 2022	Jan 28, 2024

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Feb 11, 2026

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	$196M	$161M	21.9%	$107M	22.2%	1	1	0	0

Relationships

Registered with (1)

← S••• L••• E•••••••Advisorregistration: current employment
Jan 1, 2026 to presentfactForm ADV

Controls (1)

← E•••••••• S•••• L•••OwnerPRINCIPAL, CHIEF COMPLIANCE OFFICER, ownership code E, individual
Feb 25, 2022 to Jan 28, 2024factForm ADV

Dated events

Occurred
Feb 25, 2022
First Form ADV filing
G••••• G••• P••••••• F•••••••• P••••••• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c4afa147-59bc-8993-103d-ba17669006be
First observed: Feb 25, 2022
Last observed: Feb 11, 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.