DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

C••••••••• W•••••• L••

CRD 143483

LOS ANGELES, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:d4aafaee-a20a-2574-fc6c-a7263e40980c

Data as of Mar 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:15 PM UTC and rebuilt at most every 15 minutes.

Relationships: 143
Dated events: 40
On other graphs: 1
Observed: Mar 20, 2012 to Mar 27, 2026
69 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand; an owner is a different entity, resolved from Schedule A/B

Private Equityidentity

M•••••• M••• A•••••••• L••

Intermediary · shared crd

Private Equityowner

C•••••• V• C•••••• P••••••• A••• L•••

owned by this fund per Schedule A/B (the fund is on its sponsor's Form ADV) · confidence 90% · family precision 100%

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: independent wealth managerderivedprivate_client_share=0.91 fund_share=0.0 institutional_share=0.08 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $9.5B••• Locked
Discretionary RAUM: $9.5B
Private client RAUM: $8.6Bderived••• Locked
Private client share: 91%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 79
RAUM per advisor: $120Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
J•••••• A••• J•••••	n/a	SANTA MONICA, CA \| LOS ANGELES, CA	10	26	2	no
G••••• V•••••• T••••••••	Certified Financial Planner\|Chartered Financial Analyst	LOS ANGELES, CA	6	25

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••••• N••••••••• J••••	CHIEF EXECUTIVE OFFICER	Na	yes	10/2025	Mar 27, 2026	Mar 27, 2026
D••••••••• M••••••• J•••	CHIEF INVESTMENT OFFICER	Na	yes	04/2024	Mar 27, 2026	Mar 27, 2026

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
J•••••• A••• J•••••	n/a	n/a	n/a	N	no	n/a
L••••••• R••• G•••••••••	n/a	n/a	n/a	N	no	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Sausalito	CA	United States	5	no
Hauppauge	NY	United States	3	no
n/a	n/a	n/a	3	no
L••• OSWEGO	Or	United States	2	yes
Seattle	Wa

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
18	3	15	3.8%	1	1	0	51	10

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	$9.5B	$6.7B	41.1%	$4.1B	31.9%	128	94	19	11

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
M•••••• I•••••••••	2	Feb 28, 2022	Mar 1, 2022	LOS ANGELES, CA	Team lift out	RIA to RIA	14.3%
B••• Z••• W••••• A•••••••• L••	2	Dec 9, 2019	Jan 1, 2025

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
N••••••••• M••••• I••••••••• S•••••••••	3	Mar 16, 2026	Mar 16, 2026	TACOMA, WA	Team lift out	Other	0.1%
C••••••••• W••••• M••••••••• L••	2	Sep 2, 2025	Jul 3, 2025

Relationships

showing 80 of 143

Registered with (80)

← J•••• E••••• H••••••••Advisorregistration: current employment
Jul 16, 2026 to presentfactForm ADV
← J••••• L•••• S••••••Advisorregistration: current employment
Jun 26, 2026 to presentfactForm ADV
← A•••••••• B• S••••••Advisorregistration: current employment
May 19, 2026 to presentfactForm ADV
← M•••••• J••• M••••••

Dated events

3 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Jun 24, 2026
A•••••• firm change
••• Locked
Form ADVobserved 7 days ago
Occurred
Mar 27, 2026
Ria a•••••• headcount change
••• Locked
Form ADVobserved 7 days ago
17 IARS
Occurred
Mar 27, 2026
Regulatory AUM changed
••• Locked
Form ADVobserved 7 days ago
$2.8B
Occurred
Mar 16, 2026

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d4aafaee-a20a-2574-fc6c-a7263e40980c
First observed: Mar 20, 2012
Last observed: Mar 27, 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.