DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
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SEC-registered adviser
C•••••••• P•••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Mar 26, 2012 · 29 filings
SEC status approved since Dec 9, 2009
RAUM
$2.1B
reported, Item 5.F
Discretionary
59%
of RAUM
Private clients
76%
$1.6B individuals and HNW
Advisors
10
registered through the firm on IAPD
RAUM per advisor
$214M
derived; firm RAUM over IAPD count
Employees
16
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
16
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$2.1B as of Mar 27, 2026
Mar 26, 2012$234M then
HNW client RAUM$1.6B as of Mar 27, 2026
Mar 28, 2018$1.3B then
State-registered IARs (5.B.3)6 as of Mar 27, 2026
Mar 26, 20120 then
Employees (5.A)16 as of Mar 27, 2026
Mar 25, 20136 then
Private funds16 as of Mar 27, 2026
Mar 26, 20126 then
RAUM n/a over the last fiscal year-0.4% a year over three
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- ria with heavy a•••••••••s · a wealth manager whose private fund gross assets are at least 25 percent of RAUM, or five or more private funds
- ria with p•••••• funds · a wealth manager (private-client share at least 50 percent) that reports at least one private fund on Schedule D 7.B.(1)
- uhnw p•••••• wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $214MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $12.5MderivedHNW RAUM over HNW clients
- Average account
- $1.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 59%derivedof RAUM
- Institutional
- 2.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.6derivedItem 5.A over advisors
- Advisors per office
- 10.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $447M, 102 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.6B76%
- Pooled investment vehicles$302M14%
- Corporations and businesses$159M7.4%
- Pension and profit-sharing plans$25.1M1.2%
- Charitable organizations$22.1M1.0%
- Individual clients
- n/areported
- HNW clients
- 131reported
- Pension plan clients
- 9reported
- Charitable clients
- 6reported
- Accounts
- 1,266reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- $447M for 102 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.76 fund_share=0.14 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
10 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••••• J••••• E•••••• | La Jolla, Ca | Feb 11, 2015 | 20 y | 0 |
| P••••• A• B••• | San Diego, Ca | Jul 11, 2016 | 12 y | 1 |
| S••••• S•••• S•••••• | San Diego, Ca | Jan 4, 2017 | 23 y | 3 |
| A•••• P•••• C•••••••• | San Diego, Ca | Sep 14, 2021 | 10 y | 2 |
| I•• H••• | San Diego, Ca | Sep 15, 2021 | 10 y | 1 |
| E•••••••• K•••• | San Diego, Ca | Jul 11, 2022 | 10 y | 0 |
| E•••••• G••••• | San Diego, Ca | Sep 5, 2025 | 11 y | 0 |
| G•••••• L•••• H••••Chartered Financial Analyst | San Diego, Ca | Jun 23, 2026 | 13 y | 0 |
| S••••• O•••••••• | San Diego, Ca | Jun 29, 2026 | 13 y | 2 |
| J••••• W••• | San Diego, Ca | Jul 25, 2026 | 10 y | 0 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- S••••• O•••••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jun 29, 2026 · Wirehouse to independent RIA
- I•• H••• from A•••••• G••••• I•••••••• U••• L••Sep 15, 2021 · Other
- A•••• P•••• C•••••••• from D•••••Sep 14, 2021 · RIA to RIA
- S••••• S•••• S•••••• from G••••• M•••••••• B••• M•••••••••Jan 4, 2017 · Other
- P••••• A• B••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jul 11, 2016 · Other
Private funds
22 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C•••••••• F•••• M••••• F•••• L• | Other Private Fund | $81.3M | 2 | Mar 28, 2019 |
| C•••••••• F•••• F•••• L• | Other Private Fund | $66.8M | 79 | Mar 26, 2012 |
| C•••••••• D••••••••• • S•••••• S••••••••• F•••• L•• | Private Equity Fund | $33.0M | 73 | Mar 30, 2021 |
| C•••••••• V•••••• C••••••• L•• | Venture Capital Fund | $32.2M | 58 | Mar 28, 2019 |
| C•••••••• P•••••• E•••••• L•• | Private Equity Fund | $29.4M | 61 | Mar 31, 2022 |
| C•••••••• O••••••••• F••• X••• L•• | $20.5M | 37 | Mar 27, 2026 | |
| C•••••••• R••• E•••••• L•• | Real Estate Fund | $18.7M | 46 | Mar 31, 2022 |
| C•••••••• O••••••••• F••• X••• L•• | Private Equity Fund | $17.9M | 24 | Mar 29, 2023 |
| C•••••••• A••••••••• T•••• R•••••• L•• | Private Equity Fund | $17.5M | 47 | Mar 31, 2022 |
| C•••••••• F•••• F••• O•••••••• L•• | Other Private Fund | $14.4M | 22 | Mar 26, 2012 |
| C•••••••• O••••••••• F••• X•• L•• | Private Equity Fund | $14.3M | 29 | Mar 30, 2021 |
| C•••••••• O••••••• L•• | Private Equity Fund | $9.3M | 20 | Mar 31, 2015 |
| C•••••••• N• C••••••••• I•• L••no longer reported | Private Equity Fund | $8.3M | 16 | Mar 28, 2016 |
| C•••••••• G• V•••••• R••• E••••• L•• | Private Equity Fund | $8.3M | 17 | Mar 30, 2017 |
| C•••••••• O••••••••• F••• I•• L•• | Private Equity Fund | $7.8M | 25 | Mar 28, 2018 |
| C•••••••• P•••••• C••••• L•• | Other Private Fund | $7.6M | 24 | Mar 21, 2024 |
| C•••••••• A••••••• V•• L•• | Private Equity Fund | $1.8M | 11 | Mar 28, 2016 |
| C•••••••• A•••••••• L••no longer reported | Private Equity Fund | $1.6M | 15 | Mar 26, 2012 |
| I••••••• O••••••••• F••• I• L••no longer reported | Hedge Fund | $1.6M | 13 | Mar 26, 2012 |
| C•••••••• S••••••• O••••••••• L••no longer reported | Private Equity Fund | $1.4M | 13 | Mar 31, 2015 |
| I••••••• T•••• A••••••••• L••no longer reported | Hedge Fund | $206,119 | 7 | Mar 26, 2012 |
| I••••••• M•• E•••••• L••no longer reported | Hedge Fund | $148,425 | 6 | Mar 26, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B•••• P•••••• A• · Deputy Chief Investment Officercontrolsince 01/2018 · owns 5% to 10%
- E••••••• R••••••• J••••• · Managing Partnercontrolsince 12/2014 · owns 50% to 75%
- P••••••• A••••••••• F•••••• · Chief Financial Officer & Principalcontrolsince 06/2022 · owns less than 5%
- S••••••• S•••••• S•••• · Managing Partnercontrolsince 01/2017 · owns 50% to 75%
- V• H•••••• N••••• T••• · Chief Compliance Officer And Chief Operating Officercontrolsince 07/2024 · owns less than 5%
- E••••••• J••••••• S•••• · Managercontrolsince 01/2017 · owns F of S••• D••••• P•••••••• L••
- E••••••• J••••••• S•••• · Grantorcontrolsince 11/2020 · owns F of J•••••• S• E•••••• 2••• T••••
- S••••••• L•••••• M••••••• · Trusteecontrolsince 01/2017 · owns F of S•••••• F••••• T•••• 1•••••••
- S••••••• S•••••• S•••• · Trusteecontrolsince 01/2017 · owns F of S•••••• F••••• T•••• 1•••••••
- E••••••• R••••••• J••••• · Trusteesince 11/2020 · owns F of J•••••• S• E•••••• 2••• T••••
Entity owners
- J•••••• S• E•••••• 2••• T•••• · Memberdirect · owns 25% to 50%
- R•••••• J• E•••••• F••••• T•••• · Memberdirect · owns less than 5%
- S•••••• F••••• T•••• 1••••••• · Memberdirect · owns 50% to 75%
- S••• D••••• P•••••••• L•• · Memberdirect · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| San Diego, Ca · principal | 9 | 3 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Mar 27, 2026E••••••• J••••••• S•••• (MANAGER) left Schedule A between the filings of 2024-08-02 and 2026-03-27peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Mar 27, 2026S••••••• L•••••• M••••••• (TRUSTEE) left Schedule A between the filings of 2024-08-02 and 2026-03-27peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 1,151 to 1,266Aug 29, 2025 to Mar 27, 2026
- Advisory employees · 6 to 5Aug 29, 2025 to Mar 27, 2026
- Charity clients · unset to 6.0Aug 29, 2025 to Mar 27, 2026
- Corporate clients · 17 to 22Aug 29, 2025 to Mar 27, 2026
- HNW clients · 143 to 131Aug 29, 2025 to Mar 27, 2026
- Pooled vehicle clients · 17 to 15Aug 29, 2025 to Mar 27, 2026
- Assets in custody · $466M to $447MAug 29, 2025 to Mar 27, 2026
- Employees · 17 to 16Aug 29, 2025 to Mar 27, 2026
- State-registered IARs · 8 to 6Aug 29, 2025 to Mar 27, 2026
- Private funds · 18 to 16Aug 29, 2025 to Mar 27, 2026
- Discretionary RAUM · $946M to $1.3BAug 29, 2025 to Mar 27, 2026
- HNW RAUM · $1.3B to $1.6BAug 29, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $806M to $883MAug 29, 2025 to Mar 27, 2026
- Pension RAUM · $22.8M to $25.1MAug 29, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $286M to $302MAug 29, 2025 to Mar 27, 2026
- RAUM · $1.8B to $2.1BAug 29, 2025 to Mar 27, 2026
- Accounts · 1,070 to 1,151Oct 21, 2024 to May 1, 2025
- HNW clients · 142 to 143Oct 21, 2024 to May 1, 2025
- Pension plan clients · 8 to 9Oct 21, 2024 to May 1, 2025
- Pooled vehicle clients · 16 to 17Oct 21, 2024 to May 1, 2025
- Assets in custody · $400M to $466MOct 21, 2024 to May 1, 2025
- Financial planning clients · 101-250 to 101-250Oct 21, 2024 to May 1, 2025
- HQ city · LA JOLLA to SAN DIEGOOct 21, 2024 to May 1, 2025
- Private funds · 17 to 18Oct 21, 2024 to May 1, 2025
- Discretionary RAUM · $953M to $946MOct 21, 2024 to May 1, 2025
- HNW RAUM · $1.2B to $1.3BOct 21, 2024 to May 1, 2025
- Non-discretionary RAUM · $697M to $806MOct 21, 2024 to May 1, 2025
- Pension RAUM · $16.8M to $22.8MOct 21, 2024 to May 1, 2025
- Pooled vehicle RAUM · $260M to $286MOct 21, 2024 to May 1, 2025
- RAUM · $1.7B to $1.8BOct 21, 2024 to May 1, 2025
- Employees · 16 to 17Mar 21, 2024 to Aug 2, 2024
- Accounts · 1,056 to 1,070Jul 24, 2023 to Mar 21, 2024
- Advisory employees · 5 to 6Jul 24, 2023 to Mar 21, 2024
- Corporate clients · 21 to 17Jul 24, 2023 to Mar 21, 2024
- HNW clients · 134 to 142Jul 24, 2023 to Mar 21, 2024
- Pooled vehicle clients · 15 to 16Jul 24, 2023 to Mar 21, 2024
- Assets in custody · $412M to $400MJul 24, 2023 to Mar 21, 2024
- Employees · 14 to 16Jul 24, 2023 to Mar 21, 2024
- State-registered IARs · 7 to 8Jul 24, 2023 to Mar 21, 2024
- Private funds · 16 to 17Jul 24, 2023 to Mar 21, 2024
Signals
3 dated events
- Thuy Nancy Vo Hamada (Chief Compliance Officer And Chief Operating Officer) appeared on Schedule A of C•••••••• P•••••••• L••Aug 2, 2024 · Control person joined · fact
- Greg Arthur Gleeson (Chief Operating Officer) no longer on Schedule A of C•••••••• P•••••••• L•• (listed 2021-12-08, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- C•••••••• P•••••••• L•• reported RAUM $1.5B, up 304% from $367.4M (2017-09-20 to 2018-03-28)Mar 28, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- C•••••••• P•••••••• L•• · Independent Sponsorsshared crd · capital_provider
- C•••••••• P•••••••• L•• · Private Equityshared crd · organization
- C•••••••• P•••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Business email
- info@coastedge.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 858-997-2777reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- C••••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 858-997-2777reportedpublic record, Form ADV, Mar 27, 2026
- Contact form
- coastedge.com/contactreportedpublished by the firm, firm site, Sep 15, 2026
- Team page
- coastedge.com/our-peoplereportedpublished by the firm, firm site, Sep 15, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $214Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Across the graphs
C•••••••• P•••••••• L•• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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