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

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RIA / WealthRegistered adviserstate registeredstate registeredRAUM under $100M

O••• S••••• C••••••• L••

CRD 175152

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Search this name across graphsid dfx:ria:db170de2-db53-1ea9-3b64-90f57bdb9610

Data as of May 12, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:14 AM UTC and rebuilt at most every 15 minutes.

Relationships: 1
Dated events: 0
On other graphs: 0
Observed: May 12, 2026 to May 12, 2026
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: state registeredderivedon the IAPD state feed, not SEC-registered
Regulatory AUM: $18.0MItem 5.F on the latest filing (2026-05-12); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $18.0M
Private client RAUM: $11.0MderivedItem 5.D individuals plus high net worth individuals
Private client share: 61%derivedprivate client RAUM over total RAUM
Employees: 1
Advisory employees

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
N••••• W•	n/a	Los Alamitos, CA	1	11	1	no

Relationships

Registered with (1)

← N••••• WUAdvisorregistration: current employment
Apr 10, 2025 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:db170de2-db53-1ea9-3b64-90f57bdb9610
First observed: May 12, 2026
Last observed: May 12, 2026 4 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.