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CRD 283414
NEWPORT BEACH, 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 |
|---|---|---|---|---|---|---|
| M••••• R••••• C••••••• | Certified Financial Planner|Chartered Financial Analyst | NEWPORT BEACH, CA | 10 | 32 | 3 | no |
| J••••• M••• S•••••••• | n/a | NEWPORT BEACH, CA | 10 | 17 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| C•••••••• M•••••• R••••• | CHIEF COMPLIANCE OFFICER AND MANAGING MEMBER | Na | yes | 05/2016 | Jun 2, 2026 | Jun 2, 2026 |
| K•••••••• A•••••• L••••••• | MEMBER, CFO | Na | yes | 10/2019 | Jun 2, 2026 | Jun 2, 2026 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| S•••• I•••••••• S•••••••• I••• | n/a | n/a | n/a | Y | yes | n/a |
| 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 |
|---|---|---|---|---|---|---|---|---|
| 0 | 1 | -1 | 14.3% | 0 | 1 | 0 | 2 | 3 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $1.1B | $882M | 21.6% | $515M | 27.8% | 11 | 10 | 0 | 0 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| S•••••••• R•••••••• C•••••• M••••••••• L•• | 2 | Mar 29, 2018 | Oct 24, 2016 | NEWPORT BEACH, CA | Team lift out | RIA to RIA | 18.2% |
| no |
| A••••• L••••••• K••••••• | n/a | NEWPORT BEACH, CA | 9 | 14 | 1 | no |
| A•••••• M•••••• P••• | n/a | NEWPORT BEACH, CA | 9 | 18 | 2 | no |
| A•••• C•••••••• W••••• | n/a | NEWPORT BEACH, CA | 5 | 11 | n/a | no |
| E••• M•••••• F•••••• | n/a | NEWPORT BEACH, CA | 5 | 13 | n/a | no |
| H•••• M• W•••••••• | n/a | NEWPORT BEACH, CA | Seal Beach, CA | 2 | 10 | n/a | yes |
| C•••• G•••••• E•••• | n/a | NEWPORT BEACH, CA | 1 | 11 | 2 | no |
| MANAGING MEMBER |
| Na |
| yes |
| 05/2016 |
| Jun 2, 2026 |
| Jun 2, 2026 |
| C•••••••• M•••••• R••••• | Trustee | D | yes | 04/2013 | May 6, 2016 | Dec 17, 2024 |
| K•••••••• A•••••• L••••••• | Trustee | D | yes | 05/2018 | Mar 13, 2020 | Dec 17, 2024 |
| S••••••••• J•••••• M••• | Trustee | E | yes | 10/2016 | May 6, 2016 | Dec 17, 2024 |
| C•••••••• T••••• | Trustee | D | no | 04/2013 | Mar 13, 2020 | Dec 17, 2024 |
| K••••••• T•••• | Trustee | C | no | 05/2018 | Mar 13, 2020 | Dec 17, 2024 |
| K•••••••• B••••••• | Trustee | D | no | 05/2018 | Mar 13, 2020 | Dec 17, 2024 |
| M••••• A•• T••••• C••••••• R•••••••• F••••• T•••• | Trustee | C | no | 04/2013 | Mar 13, 2020 | Dec 17, 2024 |
| T•• J••••• M• S•••••••• T•••• | Trustee | C | no | 10/2016 | Mar 24, 2022 | Dec 17, 2024 |
| $1.1B |
| $1.0B |
| 11 |
| 8 |
| 0 |
| n/a |
| n/a |
| 2024 | Mar 28, 2025 | $882M | $827M | 10 | 7 | 0 | n/a | n/a |
| 2023 | Jan 30, 2024 | $677M | $644M | 10 | 8 | 0 | n/a | n/a |
| 2022 | Feb 3, 2023 | $515M | $488M | 10 | 8 | 0 | n/a | n/a |
| 2021 | Mar 24, 2022 | $517M | $489M | 10 | 7 | 0 | n/a | n/a |
| 2020 | Mar 5, 2021 | $420M | $388M | 9 | 6 | 0 | n/a | n/a |
| 2019 | Mar 13, 2020 | $351M | $322M | 7 | 4 | 0 | n/a | n/a |
| 2018 | Mar 18, 2019 | $292M | $264M | 7 | 5 | 0 | n/a | n/a |
| 2017 | Feb 28, 2018 | $246M | $220M | 7 | 6 | 0 | n/a | n/a |
| 2016 | Mar 23, 2017 | $158M | $139M | 5 | 4 | n/a | n/a | n/a |