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C•••• J••••••• • G••••• I••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

C•••• J••••••• • G••••• I••

CRD 113261

PASADENA, CA

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Search this name across graphsid dfx:ria:057abc43-3304-128a-620a-537a20022656

Data as of Mar 30, 2022 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:32 PM UTC and rebuilt at most every 15 minutes.

Relationships: 1
Dated events: 0
On other graphs: 0
Observed: Apr 2, 2012 to Mar 30, 2022
12 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: $99.4MItem 5.F on the latest filing (2022-03-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $99.4M
Private client RAUM: $99.4MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees

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
C••••• H••••••• T•••	PRESIDENT/CHIEF COMPLIANCE OFFICER	E	yes	08/1983	Apr 2, 2012	Mar 30, 2022

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

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
2021	$99.4M	$102M	-2.2%	$103M	-1.0%	1	1	0	0

Relationships

Controls (1)

← C••••• H••••••• T•••OwnerPRESIDENT/CHIEF COMPLIANCE OFFICER, ownership code E, individual
Apr 2, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:057abc43-3304-128a-620a-537a20022656
First observed: Apr 2, 2012
Last observed: Mar 30, 2022 54 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.