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N•• S••••••• A•••••••• L••

Former SEC-registered adviserFormer SEC adviser· Irvine, California

Former SEC-registered adviser, based in Irvine, California, reporting $84.2M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
$84.2M
Form ADV
RAUM change, 1 year
-12%
Form ADV, consecutive annual filings
Private clients
0.0%
of RAUM
Form ADV
See where advisers wentSee teams that moved
More
AdvisorsWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 10 Mar 2015, RAUM $95.2M to $84.2M (-11.5%) on the Form ADV filed 10 Mar 2015.

Every filed figure, and the identifiersCRD 150140 · SEC 801-70239 · 9 filingsShow
CRD 150140SEC 801-70239First filing on the tape Mar 8, 2012, latest Mar 10, 2015IAPD
RAUM
$84.2M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
Not computed
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape

RAUM +5.4% a year over three years · the tape starts Mar 8, 2012

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$84.2M as of Mar 10, 2015
Mar 8, 2012$72.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 10, 2015
Mar 8, 20120 then
Employees (5.A)3 as of Mar 10, 2015
Feb 4, 20133 then
Private funds: no history
RAUM -12% over the last fiscal year+5.4% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 10, 2015; every figure names its basis
The rule behind each archetype, and every derived figureShow
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$21.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 office incl. principal (1.F.5)
RAUM growth, one year
-12%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for investment companiesreportedItem 5.G
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing

No Item 5.D breakdown on this filing.

The breakdown by client type, and the client countsShow
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
4reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Advisors registered through the firm
      0 on IAPD today; the longest tenured first
      No representative is registered through this CRD on IAPD.
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • H•••• R••••••• E•••• · Managing Membercontrol
        since 02/2009 · owns 50% to 75%
      • R•••• B••••• C••••••• · Shareholder, Ceocontrol
        since 01/2000 · owns 75% or more of C• F•••••••• H•••••••• I•••
      • H•••••••• C••••••• C••••• · Chief Compliance Officer
        since 06/2010 · owns less than 5%
      • H•••• R••••••• W•••••• · Member
        since 01/2013 · owns 10% to 25%
      Entity owners
      • C• F•••••••• H•••••••• I••• · Member
        indirect · owns 75% or more of W••• L••••••• L••
      • W••• L••••••• L•• · Member
        direct · owns 10% to 25%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 3 to 4
        May 16, 2014 to Mar 10, 2015
      • Employees · 4 to 3
        May 16, 2014 to Mar 10, 2015
      • Discretionary RAUM · $95.2M to $84.2M
        May 16, 2014 to Mar 10, 2015
      • RAUM · $95.2M to $84.2M
        May 16, 2014 to Mar 10, 2015
      • Employees · 3 to 4
        Nov 5, 2013 to Mar 17, 2014
      Full history · 19 changes
      • Insurance-licensed employees · 1 to 0
        Nov 5, 2013 to Mar 17, 2014
      • Discretionary RAUM · $83.6M to $95.2M
        Nov 5, 2013 to Mar 17, 2014
      • RAUM · $83.6M to $95.2M
        Nov 5, 2013 to Mar 17, 2014
      • HQ city · NEWPORT BEACH to IRVINE
        Jun 21, 2013 to Nov 5, 2013
      • Business name · N•• S••••••• A•••••••• I••• to N•• S••••••• A•••••••• L••
        May 6, 2013 to Jun 21, 2013
      • Legal name · N•• S••••••• A•••••••• I••• to N•• S••••••• A•••••••• L••
        May 6, 2013 to Jun 21, 2013
      • Succession · true to false
        May 6, 2013 to Jun 21, 2013
      • Organization form · Corporation to Limited Liability Company
        Feb 4, 2013 to May 6, 2013
      • Succession · false to true
        Feb 4, 2013 to May 6, 2013
      • Advisory employees · unset to 2.0
        Sep 21, 2012 to Feb 4, 2013
      • BD registered reps · 0 to 1
        Sep 21, 2012 to Feb 4, 2013
      • Employees · unset to 3.0
        Sep 21, 2012 to Feb 4, 2013
      • Discretionary RAUM · $72.0M to $83.6M
        Sep 21, 2012 to Feb 4, 2013
      • RAUM · $72.0M to $83.6M
        Sep 21, 2012 to Feb 4, 2013
      Signals
      1 dated events
      • ••• Locked
        May 6, 2013 · Succession (Item 4) · fact
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      Provenance
      Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show
      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
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      Not computedderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026