DFX Intelligence
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Reading the graph
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CRD 283034
LOS ANGELES, CA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| A•• A•••• H•••••••• | Certified Financial Planner | LOS ANGELES, CA | 10 | 16 | 1 | no |
| D•••• K••••• | n/a | IRVINE, CA | Irvine, CA | LOS ANGELES, CA | 8 | 40 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| H••••••••• A••• A•••• | President | E | yes | 01/2016 | Mar 5, 2020 | Oct 1, 2024 |
| R••••• D•••• E•••••••• | CHIEF COMPLIANCE OFFICER | Na | yes | 03/2023 | Mar 27, 2023 | Oct 1, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| B•••••• F•••••••• G••••• L•• | n/a | n/a | n/a | N | no | n/a |
| B•••• F•••••••• S••••••• | n/a | n/a | n/a | N | no | n/a |
| B•••••••• F•••••••• G••••• L•• | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| BOWLING GREEN | Ky | United States | 3 | no |
| CHINO HILLS | CA | United States | 1 | no |
| Glendale | CA | United States | 1 | no |
| LOS ANGELES | CA | United States | 1 | no |
| DEER PARK | IL | United States |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 2 | 4 | -2 | 13.3% | 1 | 0 | 0 | 8 | 9 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $451M | $348M | 29.5% | $249M | 21.8% | 40 | 28 | 19 | 14 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| E••••• A•••••••• L•• | 2 | Jul 2, 2024 | Jul 10, 2024 | SAN DIEGO, CA | Team lift out | RIA to state RIA | 13.3% |
| S••••••••• W•••••• L•• | 2 | Feb 5, 2024 | Feb 20, 2024 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| S••••••••• W••••• | 3 | Feb 22, 2024 | Mar 7, 2024 | SUMMIT, NJ | Team lift out | RIA to RIA | 4.6% |
| C••••••••• W•••••• L•• | 2 | Jun 27, 2022 | Jun 23, 2022 |
| no |
| N••• K••••• | n/a | IRVINE, CA | Irvine, CA | LOS ANGELES, CA | 7 | 11 | n/a | no |
| S••••• A•••• | n/a | Glendale, CA | 7 | 17 | 1 | no |
| T••••• H•••• K••••• | n/a | Manchester, NH | LOS ANGELES, CA | 5 | 27 | 1 | no |
| J•••• D• P•••••• | Certified Financial Planner | LOS ANGELES, CA | Oak Brook, IL | 5 | 24 | 2 | no |
| J••••• R•••• O••••• | Certified Financial Planner | LOS ANGELES, CA | TULSA, OK | 4 | 10 | n/a | no |
| J•••• M•••••• F•••• | n/a | Princeton, NJ | LOS ANGELES, CA | 4 | 15 | 5 | no |
| J••• S•••••• K•••••• | n/a | LOS ANGELES, CA | 4 | 12 | 2 | no |
| P••• L••• D••••••••• | n/a | Rancho Cucamonga, CA | LOS ANGELES, CA | 3 | 32 | 2 | no |
| L•••• P••••••• | n/a | IRVINE, CA | LOS ANGELES, CA | Irvine, CA | 2 | 11 | n/a | no |
| M••• B•••• | n/a | LOS ANGELES, CA | Bowling Green, KY | 2 | 12 | 2 | no |
| J••••• T••••• C•••••••• | n/a | Bowling Green, KY | LOS ANGELES, CA | 2 | 13 | 1 | no |
| J•••••• S••••• | n/a | Bowling Green, KY | LOS ANGELES, CA | 2 | 12 | 1 | no |
| M•• A••• L••••• | Certified Financial Planner | IRVINE, CA | LOS ANGELES, CA | Irvine, CA | 1 | 10 | 1 | no |
| M•••••• E••• M••••• | n/a | Los Angeles, CA | LOS ANGELES, CA | 1 | 18 | 1 | no |
| A••••• K••• T•••••• | n/a | Lehi, UT | LOS ANGELES, CA | 1 | 34 | 5 | no |
| N••••• L• O••••••• | n/a | LOS ANGELES, CA | The Woodlands, TX | 1 | 11 | n/a | no |
| J•••• P••• B•••••• | n/a | LOS ANGELES, CA | 1 | 13 | n/a | no |
| J••• S••••••• | n/a | LOS ANGELES, CA | Manchester, NH | 1 | 10 | 2 | no |
| S•••• M•••• R•••• | Chartered Financial Consultant | Charlotte, FL | LOS ANGELES, CA | 0 | 10 | n/a | no |
| L••• B•••• | n/a | LOS ANGELES, CA | Bowling Green, KY | 0 | 10 | n/a | no |
| D•••• M•••• J•••••• | n/a | LOS ANGELES, CA | Culver City, CA | 0 | 19 | n/a | no |
| M••••••• D••••• | n/a | LOS ANGELES, CA | Oak Brook, IL | 0 | 12 | n/a | no |
| J•••••••• L•••• | n/a | The Woodlands, TX | LOS ANGELES, CA | 0 | 17 | n/a | no |
| n/a |
| n/a |
| N |
| no |
| n/a |
| C•••••• I•••••••• G••••• L•• | n/a | n/a | n/a | N | no | n/a |
| F•• F•••••••• S••••••• | n/a | n/a | n/a | N | no | n/a |
| K•••••• A••••• • I•••••••• S•••••••• I••• | n/a | n/a | n/a | N | yes | n/a |
| K•••••• F•••••••• • I•••••••• S••••••••• I••• | n/a | n/a | n/a | N | yes | n/a |
| M••••••• W••••• | n/a | n/a | n/a | N | no | n/a |
| O••••• A•••••• I••• | n/a | n/a | n/a | N | no | n/a |
| P•••••• F•••••••• G••••• I••• | n/a | n/a | n/a | N | no | n/a |
| R•• • A••••••••• F•••••••• • I•••••••• S•••••••• I••• | n/a | n/a | n/a | N | no | n/a |
| T•••• F•••• F•••••••• A••••••• | n/a | n/a | n/a | N | no | n/a |
| no |
| OAK BROOK | IL | United States | 1 | no |
| Louisville | Ky | United States | 1 | no |
| Hampton | Nh | United States | 1 | no |
| Laconia | Nh | United States | 1 | no |
| Manchester | Nh | United States | 1 | no |
| Princeton | Nj | United States | 1 | no |
| Tulsa | Ok | United States | 1 | no |
| $451M |
| $419M |
| 34 |
| 24 |
| 16 |
| n/a |
| n/a |
| 2024 | Apr 14, 2025 | $348M | $312M | 28 | 16 | 14 | n/a | n/a |
| 2023 | Feb 23, 2024 | $344M | $319M | 24 | 13 | 12 | n/a | n/a |
| 2022 | Mar 27, 2023 | $249M | $213M | 22 | 16 | 18 | n/a | n/a |
| 2021 | Mar 17, 2022 | $261M | $245M | 18 | 13 | 10 | n/a | n/a |
| 2020 | Mar 4, 2021 | $137M | $130M | 10 | 7 | 4 | n/a | n/a |
| PROVO, UT |
| Team lift out |
| RIA to RIA |
| 14.3% |
| SAN DIEGO, CA |
| Team lift out |
| RIA to RIA |
| 1.7% |