DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC adviserNot on rosterRAUM 100m 1b

P••••• C•••••• I••••••••• I•••

CRD 145045

ANAHEIM HILLS, CA

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Data as of Jan 29, 2016 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:02 PM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 0
On other graphs: 0
Observed: Nov 22, 2011 to Jan 29, 2016
13 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
Regulatory AUM: $182M••• Locked
Discretionary RAUM: $181M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 5
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
F•••• F•••••••• P•••••••• L••	Member	E	yes	01/2007	Jan 29, 2016	Jan 29, 2016
F•••• O••••••••• L••	Member	E	yes	01/2016	Jan 29, 2016	Jan 29, 2016

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2014	Mar 25, 2015

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2014	$182M	$173M	5.2%	$132M	11.2%	5	5	n/a	n/a

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
B•••••• F•••••••• S••••••• G••••	3	Mar 28, 2016	Jan 16, 2016	ANAHEIM HILLS, CA	Firm absorbed	Other	100.0%

Relationships

Controls (4)

← P•••••• P••••••• D••••OwnerCEO/CIO, ownership code NA, individual
Nov 22, 2011 to presentfactForm ADV
← P•••••• D••••••OwnerVICE PRESIDENT/DIRECTOR, ownership code NA, individual
Mar 21, 2014 to presentfactForm ADV
← F•••• F•••••••• P•••••••• L••OwnerMEMBER, ownership code E, domestic entity
Jan 29, 2016 to presentfactForm ADV
← F•••• O••••••••• L••OwnerMEMBER, ownership code E, domestic entity
Jan 29, 2016 to presentfact

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Nov 22, 2011
Last observed: Jan 29, 2016 129 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.