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Former SEC-registered adviser

C•••••• C••• F••••••••

Former SEC-registered adviserRancho Cucamonga, CaliforniaCRD 155705SEC 801-72018IAPD
Legal name C•••••• C••• B•••••• L••
Latest filing Dec 23, 2013
First filing on the tape Jul 3, 2012 · 5 filings
RAUM
$62.0M
reported, Item 5.F
Discretionary
73%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
30
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$62.0M as of Jul 5, 2013
Jul 3, 2012$45.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3): 5
Employees (5.A): 30
Private funds: no history
RAUM +38% over the last fiscal year
Practice profile
derived from the filing of Dec 23, 2013; every figure names its basis
RAUM per advisor
$12.4MderivedRAUM 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
$794,872derivedRAUM over accounts (5.F.2.f)
Discretionary
73%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
6.0derivedItem 5.A over advisors
Advisors per office
1.0derived5 offices incl. principal (1.F.5)
RAUM growth, one year
+38%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 assets, hourly, fixed fees, commissions, otherreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companies, otherreportedItem 5.G
Ownership
controlled by a public reporting companyderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
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
78reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourly, commissionsreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • K•••••••• R•••••• K••••• · Sr. Managing Director And Acting Chief Compliance Officer (Cco)control
        since 11/2010 · owns 10% to 25%
      Related persons
      Schedule D 7.A
      Advisers that list C•••••• C••• F•••••••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Los Angeles, CA
      • Newport Beach, CA
      • Ontario, CA
      • Rancho Cucamonga, CA
      What changed
      consecutive filings, newest first
      • Custody of client assets · true to false
        Jul 5, 2013 to Dec 10, 2013
      • Accounts · 45 to 78
        Jul 3, 2012 to Jul 5, 2013
      • Advisory employees · unset to 5.0
        Jul 3, 2012 to Jul 5, 2013
      • BD registered reps · unset to 0.0
        Jul 3, 2012 to Jul 5, 2013
      • Employees · unset to 30.0
        Jul 3, 2012 to Jul 5, 2013
      • HQ city · NEWPORT BEACH to RANCHO CUCAMONGA
        Jul 3, 2012 to Jul 5, 2013
      • State-registered IARs · unset to 5.0
        Jul 3, 2012 to Jul 5, 2013
      • Discretionary RAUM · $35.0M to $45.0M
        Jul 3, 2012 to Jul 5, 2013
      • Non-discretionary RAUM · $10.0M to $17.0M
        Jul 3, 2012 to Jul 5, 2013
      • RAUM · $45.0M to $62.0M
        Jul 3, 2012 to Jul 5, 2013
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      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
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026