DFX Intelligence

G••••••• B•••••• • B••••••• W••••• A•• R••••••••• P••• M•••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC adviserNot on rosterRAUM 1b 10b

G••••••• B•••••• • B••••••• W••••• A•• R••••••••• P••• M•••• L••

CRD 105698

SACRAMENTO, CA

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Search this name across graphs

Data as of Jan 20, 2021 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:20 PM UTC and rebuilt at most every 15 minutes.

Relationships: 41
Dated events: 4
On other graphs: 1
Observed: Mar 29, 2012 to Jan 20, 2021
19 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Allocatorsidentity

G••••••• B•••••• • B••••••• W••••• a•• R••••••••• P••• M•••• L••

Investment consultant · key_crd, shared_crd

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: $2.2B••• Locked
Discretionary RAUM: $2.1B
Private client RAUM: $1.5Bderived••• Locked
Private client share: 69%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 40

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••••••• K••••• T•••••	VICE PRESIDENT	Na	yes	07/2012	Mar 29, 2012	Jan 20, 2021
B•••••••• K••••• T•••••	VICE PRESIDENT	C	yes	01/2018	Mar 29, 2012	Jan 20, 2021

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C••••••••• P•••••••• L••	n/a	Institutional manager	$1237B	N	yes	n/a
C••••••••• S••••••••• L•••	n/a	Former SEC adviser	$116B	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Roseville	CA	United States	8	yes

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2019	$2.2B	$2.0B	9.7%	$1.4B	16.1%	40	29	1	2

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
C•••••••	12	Mar 31, 2021	Jan 1, 2025	SACRAMENTO, CA	Firm absorbed	Other	80.0%
O•••• W•••••• I•••	3	Mar 31, 2021	Jan 26, 2016

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
P••••• S••••• F•••••••• G••••• L••	2	Oct 9, 2017	Dec 22, 2017	ROSEVILLE, CA	Team lift out	Other	100.0%
O•••• W•••••• I•••	3	Jun 20, 2017	Jul 13, 2017

Relationships

Affiliated with (3)

→ C••••••• F•••••••• A•••••••Registered adviserbroker-dealer, common control
factForm ADV
→ C•••••••Registered adviserother investment adviser, common control
factForm ADV
→ W•••• I••••••••• A•••••••• L••Registered adviserother investment adviser, common control
factForm ADV

Controls (8)

← T•••••• S•••• M•Owner

Dated events

Order

Occurred
19 Mar 2020
Control person joined2 events
G••••••• B•••••• • B••••••• W••••• A•• R••••••••• P••• M•••• L••: control person joined, 2 events, on 19 Mar 2020
- ••• Locked
- ••• Locked
Occurred
28 Mar 2018
Regulatory AUM changed
••• Locked
Form ADV
$643M
Occurred
20 Apr 2012
Succession filed (Item 4)
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 29, 2012
Last observed: Jan 20, 2021 69 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.