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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

S••••• O•• W••••• A••••••• S•••••••• L••

CRD 291645

LOS ANGELES, CA

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Search this name across graphsid dfx:ria:e0cd863e-f829-eefd-d192-bddf73490825

Data as of Mar 2, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:08 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 3
On other graphs: 0
Observed: Dec 8, 2017 to Mar 2, 2026
20 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=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $300MItem 5.F on the latest filing (2026-03-02); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $287M
Private client RAUM: $299MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor

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
S••••• N•• C••	Certified Financial Planner	LOS ANGELES, CA	8	21	1	no
L•••• R•••••	Certified Financial Planner	LOS ANGELES, CA	6	10

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••• S•••••• N••	PRESIDENT & CHIEF EXECUTIVE OFFICER	E	yes	12/2017	Dec 8, 2017	Nov 8, 2024
R•••••• L••••	CHIEF COMPLIANCE OFFICER	Na	yes	02/2023	Mar 6, 2023

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

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

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	1	-1	33.3%	0	0	0	1	1

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$300M	$262M	14.5%	$187M	17.1%	7	7	1	1

Relationships

Registered with (4)

← A••••• L••••• C••••Advisorregistration: current employment
Sep 19, 2023 to presentfactForm ADV
← L•••• R•••••Advisorregistration: current employment
Jul 22, 2020 to presentfactForm ADV
← S••••• N•• C••Advisorregistration: current employment
Jan 12, 2018 to presentfactForm ADV
← HOLLYN MUDGE SEKIGUCHI

Dated events

Occurred
Dec 11, 2025
Advisor changed firm
Hollyn Mudge Sekiguchi left S••••• O•• W••••• A••••••• S•••••••• L•• for Pasadena Private Wealth, Llc (registered 2025-05-12)
Form ADVobserved 7 days ago
Occurred
Mar 6, 2023
Control person joined
L•••• R••••• (Chief Compliance Officer) appeared on Schedule A of S••••• O•• W••••• A••••••• S•••••••• L••
Form ADVobserved 7 days ago
Occurred
Dec 8, 2017
First Form ADV filing
S••••• O•• W••••• A••••••• S•••••••• L•• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e0cd863e-f829-eefd-d192-bddf73490825
First observed: Dec 8, 2017
Last observed: Mar 2, 2026 6 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.