DFX Intelligence

S•••••••• 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

S•••••••• W•••••• L••

CRD 165168

LOS ANGELES, CA

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Search this name across graphsid dfx:ria:e6f05ee8-1b11-3a27-67a9-c13e323028d6

Data as of Jul 29, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:37 PM UTC and rebuilt at most every 15 minutes.

Relationships: 79
Dated events: 31
On other graphs: 2
Observed: Sep 5, 2012 to Jul 29, 2026
77 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

S•••••••• W•••••• L••

Private equity manager · shared crd

Independent Sponsorsidentity

S•••••••• W•••••• L••

Capital provider to sponsors · shared crd

Facts

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

Firm class: independent wealth managerderivedprivate_client_share=0.89 fund_share=0.01 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $4.1B••• Locked
Discretionary RAUM: $4.1B
Private client RAUM: $3.7Bderived••• Locked
Private client share: 89%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 37
RAUM per advisor: $112Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
R••• N•• Z•••••	n/a	LOS ANGELES, CA	13	26	3	no
M••••• N•• E•••••••••	n/a	LOS ANGELES, CA	13	24

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
S• C•••••• O••••••••• I•• L•	Private Equity Fund	$11.6M	Jul 29, 2026	43	Mar 29, 2022	reported	021-441485
S• G•••••••• G••••• F•••• L•	Other Private Fund	$7.9M	Jul 29, 2026

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
E••••••••• M•••••• N••	CHIEF INVESTMENT OFFICER	Na	yes	10/2012	Jul 29, 2026	Jul 29, 2026
S•••••••• H••••••• L••	Member	E	yes	09/2023	Jul 29, 2026	Jul 29, 2026

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S•••••••• C•••••• I• L••	n/a	n/a	n/a	N	yes	n/a
S•••••••• I•••••••• A••••• L••	n/a	n/a	n/a	N	yes	n/a
S•••••••• I••••••••• I• L••	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
BEVERLY HILLS	CA	United States	5	no
NEWPORT BEACH	CA	United States	2	no
LAS VEGAS	Nv	United States	2	no
BOCA RATON	FL	United States	1	no
Dallas	TX	United States

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
6	3	3	8.1%	3	1	0	16	13

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	$4.1B	$3.4B	20.6%	$1.9B	29.9%	84	56	14	9

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
S•••	2	Jun 4, 2025	Jan 2, 2026	LOS ANGELES, CA	Team lift out	RIA to ibd	6.3%
D••••••	2	Feb 12, 2018	Feb 3, 2018

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
S•••	2	May 1, 2023	May 1, 2023	LOS ANGELES, CA	Team lift out	Ibd to RIA	3.1%
T•• P••••••• G•••• A•••••••	2	Aug 9, 2016	Aug 2, 2016

Relationships

Registered with (66)

← Jessica Lauren DonovanAdvisorregistration: current employment
Sep 9, 2026 to presentfactForm ADV
← Andrew MossAdvisorregistration: current employment
Aug 11, 2026 to presentfactForm ADV
← JORDAN BRADFORD PETERSONAdvisorregistration: current employment
Aug 5, 2026 to presentfactForm ADV
← Dalia Farouq Dardoon

Dated events

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

Occurred
Aug 5, 2026
Advisor changed firm
Drew William Holden Clanton left S•••••••• W•••••• L•• for Hightower Advisors, Llc (registered 2026-07-07)
Form ADVobserved 7 days ago
Occurred
Nov 4, 2025
Advisor changed firm
John Perry left S•••••••• W•••••• L•• for J.P. Morgan Securities Llc (registered 2025-12-09)
Form ADVobserved 7 days ago
Occurred
Oct 3, 2025
Advisor changed firm
James M•••••• Bray left S•••••••• W•••••• L•• for Cypress Wealth Services, Llc (registered 2026-02-16)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e6f05ee8-1b11-3a27-67a9-c13e323028d6
First observed: Sep 5, 2012
Last observed: Jul 29, 2026 55 days 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.