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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

L••••• A•••• F•••••••• S••••••• • S•••••••

CRD 110758

SANTA MONICA, CA

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Search this name across graphsid dfx:ria:f0090605-c04b-34de-cc1a-163411f5de19

Data as of Mar 20, 2017 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:37 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Mar 16, 2012 to Mar 20, 2017
9 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $692MItem 5.F on the latest filing (2017-03-20); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $683M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
H•••• C•••	Shareholder	E	yes	05/2006	Mar 16, 2012	Mar 20, 2017
M••••••• P••••• W••••••	Shareholder	E	yes	04/2006	Mar 16, 2012

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2016	$692M	$663M	4.3%	$659M	1.6%	8	8	n/a	n/a

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
H••••••••• L••	2	Jun 2, 2017	Jun 2, 2017	SANTA MONICA, CA	Team lift out	Other	100.0%

Relationships

Controls (2)

← M••••••• P••••• W••••••OwnerSHAREHOLDER, ownership code E, individual
Mar 16, 2012 to presentfactForm ADV
← H•••• C•••OwnerSHAREHOLDER, ownership code E, domestic entity
Mar 16, 2012 to presentfactForm ADV

Moved with (1)

→ H••••••••• L••Registered adviser2 advisors, team lift out, same day
Jun 2, 2017 to Jun 2, 2017factForm ADV

Registered with (2)

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f0090605-c04b-34de-cc1a-163411f5de19
First observed: Mar 16, 2012
Last observed: Mar 20, 2017 115 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.