DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

P•••• S•••• A•••••• L••

CRD 288765

NEWPORT BEACH, CA

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Search this name across graphsid dfx:ria:d0e26e8b-9060-b43b-f3c6-1ac11ba1b772

Data as of Jul 1, 2017 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:06 PM UTC and rebuilt at most every 15 minutes.

Relationships: 18
Dated events: 1
On other graphs: 0
Observed: Jul 1, 2017 to Jul 1, 2017
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: former SEC adviserderivedabsent from the latest SEC roster
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Employees: 40
Advisory employees: 26
SEC number: 801-110966
CRD: 288765
Filings on the tape: 1
First filed

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••••• A•••• M••••••••• O• A•••••• L•••	Member	E	yes	11/1994	Jul 1, 2017	Jul 1, 2017
A•••••• A•••• M••••••••• O• A•••••• L••	Partner	E	yes	12/2009	Jul 1, 2017	Jul 1, 2017

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
P•••••• I••••••••• M••••••••• C•••••• L••	n/a	Asset manager	$3667B	Y	yes	n/a
S•••• C•••••• P•••••••• L••	n/a	Asset manager	$9.4B	Y	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
NEW YORK	NY	United States	n/a	no
NEW YORK	NY	United States	n/a	no

Relationships

Affiliated with (3)

→ P•••••• I••••••••• M••••••••• C•••••• L••Registered adviserother investment adviser, bank, pooled vehicle sponsor, control, common control
factForm ADV
→ S•• C•••••• P•••••••• L••Registered adviserother investment adviser, pooled vehicle sponsor, control, common control
factForm ADV
→ A•••••• G••••• I•••••••• U••• L••Registered adviserother investment adviser, bank, common control
factForm ADV

Controls (6)

Dated events

Occurred
Jul 1, 2017
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d0e26e8b-9060-b43b-f3c6-1ac11ba1b772
First observed: Jul 1, 2017
Last observed: Jul 1, 2017 112 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.