DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

E••••••• W•••••• L••

CRD 288331

BAKERSFIELD, CA

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Search this name across graphsid dfx:ria:eb6cd651-83c7-0138-8518-04277b60925b

Data as of Mar 20, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:01 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 2
On other graphs: 0
Observed: Jun 23, 2017 to Mar 20, 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=0.95 fund_share=0.0 institutional_share=0.04 related_bd=false related_bank=false bd_reps=2.0
Regulatory AUM: $171M••• Locked
Discretionary RAUM: $168M
Private client RAUM: $163Mderived••• Locked
Private client share: 95%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $85.6Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
A••••• C••••• B•••••	Certified Financial Planner	BAKERSFIELD, CA	9	11	1	yes
B•••••• C••••• B•••••	Certified Financial Planner	BAKERSFIELD, CA	9	45

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•• I••••••••• T••••	MANAGING MEMBER	E	yes	06/2017	Jun 23, 2017	May 23, 2024
B•••••• A•••••• C•••••	Beneficiary	E	yes	03/2017	Jun 23, 2017	May 23, 2024

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 20, 2026

Advisor flows

••• Locked

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	0	0

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	$171M	$129M	33.2%	$106M	17.2%	4	4	0	0

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
M••••• S••••••	2	Jul 31, 2017	Jul 28, 2017	BAKERSFIELD, CA	Team lift out	Wirehouse to new firm	0.0%

Relationships

Registered with (2)

← A••••• C••••• B•••••Advisorregistration: current employment
Jul 28, 2017 to presentfactForm ADV
← B•••••• C••••• B•••••Advisorregistration: current employment
Jul 28, 2017 to presentfactForm ADV

Controls (4)

← B•••••• A•••••• C•••••OwnerBENEFICIARY, ownership code E, individual
Jun 23, 2017 to May 23, 2024factForm ADV
← B•••••• L•••••

Dated events

Occurred
Aug 4, 2021
Control person joined
••• Locked
Form ADVobserved 7 days ago
Occurred
Jun 23, 2017
First Form ADV filing
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:eb6cd651-83c7-0138-8518-04277b60925b
First observed: Jun 23, 2017
Last observed: Mar 20, 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.