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

TROVENA, LLC.

CRD 120232

REDONDO BEACH, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:00ff31f2-e0a1-8398-2f6b-382035051352

Data as of Apr 11, 2013 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:02 AM UTC and rebuilt at most every 15 minutes.

Relationships: 15
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2012 to Apr 11, 2013
6 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: $391MItem 5.F on the latest filing (2013-04-11); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $372M
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: 11
Advisory employees: 11
Accounts: 1,318
SEC number: 801-63474
CRD: 120232
Filings on the tape: 6
First filed: Mar 30, 2012
Latest filed: Apr 11, 2013
Organised: Limited Liability Company, California

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
FERREIRA, ANTHONY, GEORGE	WEALTH MANAGER	Na	yes	01/2007	Mar 30, 2012	Apr 11, 2013
LEONARD, SCOTT, ALAN	MANAGING MEMBER	C	yes	07/2008	Mar 30, 2012	Apr 11, 2013
VANSLYKE, CHRISTOPHER, PAUL	MANAGING MEMBER	C	yes	01/2001	Mar 30, 2012	Apr 11, 2013
TOYA, ERIC, SEIJI	CHIEF COMPLIANCE OFFICER	Na	no	03/2013	Mar 28, 2013	Apr 11, 2013

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
ONCUBIC, L.L.C.	n/a	Independent wealth	$1.1B	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
LA JOLLA	CA	United States	n/a	no
Austin	TX	United States	n/a	no
n/a	n/a	n/a	n/a	no

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
2012	Mar 28, 2013	$391M	$372M	11	11	n/a	n/a	n/a
2011	Mar 30, 2012	$505M	$485M	n/a	n/a	n/a	n/a	n/a

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
2012	$391M	$505M	-22.5%	n/a	n/a	11	n/a	n/a	n/a

Relationships

Affiliated with (1)

→ WORTHPOINTERegistered adviserother investment adviser, common control
factForm ADV

Controls (3)

← LEONARD, SCOTT, ALANOwnerMANAGING MEMBER, ownership code C, individual
Mar 30, 2012 to presentfactForm ADV
← VANSLYKE, CHRISTOPHER, PAULOwnerMANAGING MEMBER, ownership code C, individual
Mar 30, 2012 to presentfactForm ADV
← FERREIRA, ANTHONY, GEORGEOwnerWEALTH MANAGER, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV

Owns (1)

← TOYA, ERIC, SEIJIOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 28, 2013 to presentfactForm ADV

Registered with (10)

← SCOTT WILLIAM O'BRIENAdvisorregistration: previous registration
Jun 11, 2012 to Dec 31, 2013factForm ADV
← SCOTT ALAN LEONARDAdvisorregistration: previous registration
Jan 6, 2012 to Dec 31, 2013factForm ADV
← ERIC SEIJI TOYAAdvisorregistration: previous registration
Jan 6, 2012 to Dec 31, 2013factForm ADV
← CHRISTOPHER PAUL VAN SLYKEAdvisorregistration: previous registration
Jun 17, 2003 to Dec 31, 2013factForm ADV
← ANTHONY GEORGE FERREIRAAdvisorregistration: previous registration
Nov 12, 2003 to Dec 31, 2013factForm ADV
← MORGAN HOLTON SMITHAdvisorregistration: previous registration
Mar 4, 2010 to Dec 31, 2013factForm ADV
← KATHRYN VIRGINIA BROYAdvisorregistration: previous registration
Dec 20, 2011 to Dec 31, 2013factForm ADV
← BROOKSHER LEE MORGANAdvisorregistration: previous registration
Feb 1, 2012 to Dec 31, 2013factForm ADV
← HAL RICHARD SCHWEIGERAdvisorregistration: previous registration
Oct 22, 2003 to Oct 17, 2008factForm ADV
← TERRANCE ANTHONY GREENAdvisorregistration: previous registration
Sep 26, 2003 to Oct 3, 2006factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:00ff31f2-e0a1-8398-2f6b-382035051352
First observed: Mar 30, 2012
Last observed: Apr 11, 2013 163 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.

TROVENA, LLC.

CRD 120232

REDONDO BEACH, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:00ff31f2-e0a1-8398-2f6b-382035051352

Data as of Apr 11, 2013 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:02 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

FERREIRA, ANTHONY, GEORGE

WEALTH MANAGER

yes

01/2007

Mar 30, 2012

Apr 11, 2013

LEONARD, SCOTT, ALAN

MANAGING MEMBER

yes

07/2008

Mar 30, 2012

Apr 11, 2013

VANSLYKE, CHRISTOPHER, PAUL

MANAGING MEMBER

yes

01/2001

Mar 30, 2012

Apr 11, 2013

TOYA, ERIC, SEIJI

CHIEF COMPLIANCE OFFICER

03/2013

Mar 28, 2013

Apr 11, 2013

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

ONCUBIC, L.L.C.

n/a

Independent wealth

$1.1B

yes

n/a

City

State

Country

Employees

Also broker-dealer

LA JOLLA

United States

n/a

Austin

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2012

Mar 28, 2013

$391M

$372M

n/a

2011

Mar 30, 2012

$505M

$485M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2012

$391M

$505M

-22.5%

n/a