DFX Intelligence

T•• S••••• E••••• 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

T•• S••••• E••••• G••••• I•••

CRD 123747

BERKELEY, CA

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Search this name across graphsid dfx:ria:08115770-c9fd-72a4-cd70-413909049f0c

Data as of Jan 23, 2012 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:04 PM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 8
On other graphs: 0
Observed: Nov 9, 2011 to Jan 23, 2012
3 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: $49.3M••• Locked
Discretionary RAUM: $49.3M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor: $49.3Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
D••••• J••• M•••••	n/a	SAN FRANCISCO, CA	33	38	3	no

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
M•••••• D•••••• J•••	PRESIDENT, SECRETARY, TREASURER, (10.2006) CHIEF COMPLIANCE OFFICER	E	yes	02/1992	Nov 9, 2011	Jan 23, 2012
F•••••• R••	VICE PRESIDENT, DIRECTOR OF ASSET ALLOCATION	Na	no	06/2000	Nov 9, 2011	Jan 23, 2012

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Jan 23, 2012	$49.3M	$49.3M	n/a	n/a	n/a	n/a	n/a

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	4	-4	400.0%	0	0	0	0	4

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2011	$49.3M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
L•• F•••••••• L••	2	Dec 23, 2025	Jun 5, 2025	SAN FRANCISCO, CA	Team lift out	Other	40.0%

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
W•••••• I••••••••• S•••••••••	2	Jun 5, 2025	Jul 18, 2023	CAMPBELL, CA	Team lift out	Other	1.1%

Relationships

Controls (1)

← M•••••• D•••••• J•••OwnerPRESIDENT, SECRETARY, TREASURER, (10.2006) CHIEF COMPLIANCE OFFICER, ownership code E, individual
Nov 9, 2011 to presentfactForm ADV

Owns (1)

← F•••••• R••OwnerVICE PRESIDENT, DIRECTOR OF ASSET ALLOCATION, ownership code NA, individual
Nov 9, 2011 to presentfactForm ADV

Registered with (7)

← D••••• J••• M•••••Advisorregistration: current employment
Jan 1, 1993 to presentfactForm ADV

Dated events

Occurred
Dec 23, 2025
Team lift-out
2 advisors left T•• S••••• E••••• G••••• I••• (San Francisco, CA) for L•• F•••••••• L•• on the same day
Form ADVobserved 7 days ago
2 advisors
Occurred
Dec 23, 2025
Advisor changed firm
Dawn-Dyanna Dhyanna left T•• S••••• E••••• G••••• I••• for Financial West Group (registered 2003-12-09)
Form ADVobserved 7 days ago
Occurred
Dec 23, 2025
Advisor changed firm
Ron Freund left T•• S••••• E••••• G••••• I••• for W•••••• I••••••••• S••••••••• (registered 2017-08-21)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:08115770-c9fd-72a4-cd70-413909049f0c
First observed: Nov 9, 2011
Last observed: Jan 23, 2012 178 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.