DFX Intelligence
Data Factory
Reading the graph
Reading the graph
CRD 146959
PALOS VERDES ESTATES, CA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| ALFRED CHARLES WALSH | n/a | PALOS VERDES ESTATES, CA | 18 | 32 | 1 | no |
| MARK WADE CHOATE | n/a | PALOS VERDES ESTATES, CA | 1 | 41 | 1 | no |
| ALFRED WALSH | Chartered Financial Analyst | PALOS VERDES ESTATES, CA | 0 | 13 | n/a | no |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| CHOATE, MARK, WADE | CHIEF EXECUTIVE OFFICER | Na | yes | 03/2016 | Mar 17, 2016 | Aug 28, 2024 |
| WALSH, ALFRED, CHARLES | MANAGING MEMBER / CHIEF COMPLIANCE OFFICER | E | yes | 05/2008 | Mar 2, 2012 | Aug 28, 2024 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| n/a | n/a | n/a | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Feb 13, 2026 | $311M | $311M | 4 | 3 | 1 | n/a | n/a |
| 2024 | Jan 30, 2025 | $279M | $279M | 4 | 3 | 1 | n/a | n/a |
| 2023 | Jan 23, 2024 | $261M | $261M | 4 | 3 | 1 | n/a | n/a |
| 2022 | Jan 24, 2023 | $210M | $210M | 3 | 2 | 0 | n/a | n/a |
| 2021 | Jan 19, 2022 | $276M | $276M | 3 | 2 | 0 | n/a | n/a |
| 2020 | Feb 3, 2021 | $244M | $244M | 3 | 2 | 0 | n/a | n/a |
| 2019 | Feb 4, 2020 | $190M | $190M | 3 | 2 | 0 | n/a | n/a |
| 2018 | Feb 20, 2019 | $162M | $162M | 3 | 2 | 0 | n/a | n/a |
| 2017 | Feb 21, 2018 | $202M | $202M | 3 | 2 | 0 | n/a | n/a |
| 2016 | Feb 3, 2017 | $168M | $168M | 3 | 2 | n/a | n/a | n/a |
| 2015 | Feb 11, 2016 | $150M | $150M | 3 | 2 | n/a | n/a | n/a |
| 2014 | Mar 18, 2015 | $148M | $148M | 3 | 2 | n/a | n/a | n/a |
| 2013 | Feb 18, 2014 | $143M | $143M | 3 | 2 | n/a | n/a | n/a |
| 2012 | Feb 4, 2013 | $105M | $105M | 3 | 2 | n/a | n/a | n/a |
| 2011 | Mar 2, 2012 | $111M | $94.9M | n/a | n/a | n/a | n/a | n/a |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 0 | 0 | 0 | 0.0% | 0 | 0 | 0 | 1 | 0 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $311M | $279M | 11.6% | $210M | 14.1% | 4 | 4 | 1 | 1 |