DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

V•••••• W••••• P•••••••• L••

CRD 312247

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Search this name across graphsid dfx:ria:d0c45524-386a-d7c2-d79c-b365f5598bf5

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:38 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 4
On other graphs: 0
Observed: Jun 22, 2021 to Mar 31, 2026
8 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=0.85 fund_share=0.0 institutional_share=0.15 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $151M••• Locked
Discretionary RAUM: $151M
Private client RAUM: $128Mderived••• Locked
Private client share: 85%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $75.3Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
E•••••• F•••••••	Certified Financial Planner	SAN MATEO, CA	5	31	2	no
C••••••••• M•••••• C•••••	n/a	Austin, TX \| SAN MATEO, CA	4	32

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••••• C••••••••• M••••••	MANAGING MEMBER AND CHIEF COMPLIANCE OFFICER	D	yes	08/2021	Aug 12, 2021	Mar 18, 2024
F•••••••• E••••••	MANAGING MEMBER	D	yes	08/2021	Aug 12, 2021	Mar 18, 2024

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
NEWPORT BEACH	CA	United States	1	no
Austin	TX	United States	1	no
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 31, 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	$151M	$136M	11.1%	$112M	10.2%	2	2	3	3

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
G••••••• I••••••••• L••	2	Dec 31, 2017	Apr 16, 2022	ANAHEIM, CA	Team lift out	Other	66.7%

Relationships

Registered with (2)

← C••••••••• M•••••• C•••••Advisorregistration: current employment
Apr 16, 2022 to presentfactForm ADV
← E•••••• F•••••••Advisorregistration: current employment
Aug 12, 2021 to presentfactForm ADV

Controls (2)

← C•••••• C••••••••• M••••••OwnerMANAGING MEMBER AND CHIEF COMPLIANCE OFFICER, ownership code D, individual
Aug 12, 2021 to Mar 18, 2024factForm ADV
←

Dated events

Occurred
Aug 12, 2021
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Aug 12, 2021
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Aug 12, 2021
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Jun 22, 2021
First Form ADV filing

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d0c45524-386a-d7c2-d79c-b365f5598bf5
First observed: Jun 22, 2021
Last observed: Mar 31, 2026 5 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.