C••••••• A••••••• N••••••• L••

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.

Firm class

independent wealth managerderivedprivate_client_share=0.94 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0

Regulatory AUM

$383M••• Locked

Discretionary RAUM

$383M

Private client RAUM

$361Mderived••• Locked

Private client share

94%derivedprivate client RAUM over total RAUM

Advisors on IAPD

0

Employees

8

• Occurred

  Dec 31, 2023
  Team lift-out

  2 advisors left C••••••• A••••••• N••••••• L•• (Aliso Viejo, CA) for C••••••• P•••••••• I••• on the same day

  Form ADVobserved 7 days ago
  2 advisors
• Occurred

  Dec 31, 2023
  Advisor changed firm

  Norman Ellsworth Mains left C••••••• A••••••• N••••••• L•• for C••••••• P•••••••• I••• (registered 2025-11-18)

  Form ADVobserved 7 days ago
• Occurred

  Dec 31, 2023
  Advisor changed firm

  Steven Ray Miller left C••••••• A••••••• N••••••• L•• for Private Advisor Group, Llc (registered 2023-10-10)

  Form ADV

Graph

RIA / Wealth Management

Canonical id

dfx:ria:ee54a9b6-0344-2ae1-d2d0-f827f3581de5

First observed

Nov 3, 2014

Last observed

Dec 1, 2023 34 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.