DFX Intelligence

T•••• C•••••• M••••••••• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserIndependent wealth managerSEC registeredRAUM 1b 10b

T•••• C•••••• M••••••••• I•••

CRD 149108

SAN DIEGO, CA

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Data as of May 1, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:52 PM UTC and rebuilt at most every 15 minutes.

Relationships: 25
Dated events: 11
On other graphs: 0
Observed: Mar 14, 2012 to May 1, 2026
47 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=0.97 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $1.6B••• Locked
Discretionary RAUM: $1.6B
Private client RAUM: $1.6Bderived••• Locked
Private client share: 97%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 13
RAUM per advisor: $125Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
S••••• M•••••••••	Certified Financial Planner\|Chartered Financial Analyst	SAN DIEGO, CA	17	35	2	no
C•••••• F•••••••• C•••••••••	Chartered Financial Analyst	SAN DIEGO, CA	17	28

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
F••••••••• J•••••••• P•••	DIRECTOR, TRUSTEE OF THE F•••••••• FAMILY TRUST U/A/D	B	yes	03/2014	May 1, 2026	May 1, 2026
M••••••••• S•••••	DIRECTOR/PRESIDENT/CEO	D	yes	01/2009	May 1, 2026	May 1, 2026

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
WESTLAKE VILLAGE	CA	United States	2	no
n/a	n/a	n/a	1	no

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
1	1	0	7.7%	0	0	0	1	2

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	$1.6B	$1.4B	14.9%	$1.1B	13.8%	19	19	2	2

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
C••••••• I••••••••• C••••••	2	Jun 27, 2022	Jul 1, 2022	SAN DIEGO, CA	Team lift out	RIA to RIA	15.4%

Relationships

Controls (4)

← M••••••••• S•••••OwnerDIRECTOR/PRESIDENT/CEO, ownership code D, individual
May 1, 2026 to presentfactForm ADV
← W•••••• K•••••• E•OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
May 1, 2026 to presentfactForm ADV
← F••••••••• J•••••••• P•••OwnerDIRECTOR, TRUSTEE OF THE F•••••••• FAMILY TRUST U/A/D, ownership code B, individual
May 1, 2026 to presentfactForm ADV
← W•••• A•••••• W••••••OwnerDIRECTOR/CHIEF INVESTMENT OFFICER, ownership code B, individual
May 1, 2026 to present

Dated events

Order

Occurred
1 May 2026
Ria office opened
••• Locked
Form ADV
Occurred
1 May 2026
Ria office closed
••• Locked
Form ADV
Occurred
19 Mar 2026
Advisor changed firm
••• Locked
Form ADV
Occurred
25 Apr 2025
Advisor changed firm
••• Locked
Form ADV
Occurred
27 Jun 2022
Advisor changed firm2 events
T•••• C•••••• M••••••••• I•••: advisor changed firm, 2 counterparties, on 27 Jun 2022
- ••• Locked
- ••• Locked

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 14, 2012
Last observed: May 1, 2026 4 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 13 rows

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
A•••• M•••••• K•••••	Certified Financial Planner	SAN DIEGO, CA	2	12	n/a	no
T•••••• T••••• D••••	Certified Financial Planner	SAN DIEGO, CA \| Mission Viejo, CA	0	14	2	no
J•••• L••• N••••••	n/a	SAN DIEGO, CA	0	11	n/a	no

All 15 rows

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Mar 7, 2016	$396M	$396M	11	5	n/a	n/a	n/a
2014	Mar 17, 2015	$346M	$346M	10	5	n/a	n/a	n/a
2013	Mar 10, 2014	$270M	$270M	9	5	n/a	n/a	n/a
2012	Mar 7, 2013	$228M	$227M	7	4	n/a	n/a	n/a
2011	Mar 14, 2012	$192M	$192M	n/a	n/a	n/a	n/a	n/a