DFX Intelligence

M••• S•••• F•••••••• S•••••••• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserstate registeredstate registeredRAUM 100m 1b

M••• S•••• F•••••••• S•••••••• I•••

CRD 131890

THOUSAND OAKS DRIVE, CA

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Search this name across graphsid dfx:ria:c7e15835-ca21-ffdd-15ee-fc34c1db1152

Data as of Feb 10, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:03 PM UTC and rebuilt at most every 15 minutes.

Relationships: 1
Dated events: 0
On other graphs: 0
Observed: Feb 10, 2026 to Feb 10, 2026
1 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: state registeredderivedon the IAPD state feed, not SEC-registered
Regulatory AUM: $108M••• Locked
Discretionary RAUM: $106M
Private client RAUM: $105Mderived••• Locked
Private client share: 97%derivedprivate client RAUM over total RAUM
Employees: 3
Advisory employees: 1

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
R••••• M••• S••••	Personal Financial Specialist	Thousand Oaks, CA	10	38	n/a	no

Relationships

Registered with (1)

← R••••• M••• S••••Advisorregistration: current employment
Jul 14, 2016 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:c7e15835-ca21-ffdd-15ee-fc34c1db1152
First observed: Feb 10, 2026
Last observed: Feb 10, 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.