DFX Intelligence

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

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RIA / WealthRegistered adviserOther adviserSEC registeredRAUM 100m 1b

D•• F••••• O•••••• L••

CRD 322047

ROSEVILLE, CA

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Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 9:36 AM UTC and rebuilt at most every 15 minutes.

Relationships: 16
Dated events: 4
On other graphs: 1
Observed: May 9, 2023 to Mar 30, 2026
6 observations

Across DFX

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

Family Officesidentity

D•• F••••• O•••••• L••

Family office · same CRD, same SEC file number

Facts

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

Firm class: other adviserderived••• Locked
Regulatory AUM: $120M••• Locked
Discretionary RAUM: $0
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $40.0Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
C••••• M••••••• R••••	n/a	Roseville, CA	3	24	n/a	no
C••••••••• B•••• S•••••••••	n/a	ROSEVILLE, CA	3	10

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••••••• T•••••• E•	CHIEF INVESTMENT OFFICER	Na	yes	12/2023	May 9, 2023	Mar 26, 2024
D••••••••• L••	Member	B	yes	01/2022	May 9, 2023	Mar 26, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
D•• M••••••••• C••••••• I•••	n/a	State registered	n/a	N	no	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 30, 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	$120M	$162M	-25.8%	n/a	n/a	16	16	0	0

Relationships

Affiliated with (1)

→ D•• M••••••••• C••••••• I•••Registered adviserpooled vehicle sponsor
factForm ADV

Registered with (3)

← K•••• T• M••••••••Advisorregistration: current employment
Oct 23, 2024 to presentfactForm ADV
← C••••••••• B•••• S•••••••••Advisorregistration: current employment
Sep 14, 2023 to presentfactForm ADV
←

Dated events

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

Order

Occurred
26 Mar 2024
Control person joined
••• Locked
Form ADV
Occurred
9 May 2023
First Form ADV filing
••• Locked
Form ADV

Show 2 bookkeeping events

Occurred
Mar 30, 2026
••• Locked
Occurred
Mar 30, 2026
••• Locked

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: May 9, 2023
Last observed: Mar 30, 2026 5 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.

All 12 rows

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
M•••••••• C••••• D•	Member	A	no	12/2021	May 9, 2023	Mar 26, 2024
M••••••••• K••••• T•	Member	A	no	12/2021	May 9, 2023	Mar 26, 2024