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CRD 165458
SANTA BARBARA, CA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| BORDEN, CRISTOPHER, JON | MANAGER AND MEMBER | Na | yes | 10/2012 | Sep 12, 2012 | Apr 1, 2014 |
| CABALLERO, JOSEPH, HERIBERTO | CHIEF COMPLIANCE OFFICER AND MEMBER | Na | yes | 04/2012 | Sep 12, 2012 | Apr 1, 2014 |
| FIDUCIARY COUNCIL HOLDINGS, LLC | Owner | E | yes | 10/2012 | Sep 12, 2012 | Apr 1, 2014 |
| MIDKIFF, ROBIN, STARR | CHAIRPERSON AND MEMBER | Na | yes | 10/2012 | Sep 12, 2012 | Apr 1, 2014 |
| VAN WYK, GREGORY, DANIEL | MANAGER AND MEMBER | Na | yes | 04/2012 | Sep 12, 2012 | Apr 1, 2014 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| DANIEL INVESTMENT ASSOCIATES, LLC | n/a | Independent wealth | $225M | N | no | n/a |
| KOBO WEALTH CONSERVANCY, LLC | n/a | Former SEC adviser | $155M | N | no | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| SAN FRANCISCO | CA | United States | n/a | no |
| Honolulu | Hi | United States | n/a | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2013 | Apr 1, 2014 | $227M | $0 | 4 | 4 | n/a | n/a | n/a |
| 2012 | Mar 28, 2013 | $244M | $0 | 4 | 4 | n/a | n/a | n/a |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2013 | $227M | $244M | -7.2% | n/a | n/a | 4 | 4 | n/a | n/a |