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V•••••••• C•••••• A•••• M••••••••• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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

V•••••••• C•••••• A•••• M••••••••• I•••

CRD 140861

DANVILLE, CA

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Search this name across graphsid dfx:ria:0c9f27f9-9a38-4e00-4483-27b952d204e8

Data as of Apr 30, 2015 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:24 AM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 0
On other graphs: 0
Observed: Mar 28, 2012 to Apr 30, 2015
15 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: $367M••• Locked
Discretionary RAUM: $367M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 4
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
V••• L•	Other Private Fund	$22.3M	Dec 12, 2013	159	Mar 28, 2012	dropped	021-171561

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
S••••••••• R••••••• C••••	CHIEF COMPLIANCE OFFICER	Na	yes	02/2012	May 21, 2012	Apr 30, 2015
V••••••••• J•••• L••	PRINCIPAL/PRESIDENT	C	yes	03/2006	Mar 28, 2012	Apr 30, 2015

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
PT. RICHMOND	CA	United States	n/a	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2014	Mar 31, 2015

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2014	$367M	$562M	-34.7%	$361M	0.5%	4	12	n/a	n/a

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
R•• I••••••••• A•••••••• L••	2	Feb 23, 2015	Oct 22, 2014	DANVILLE, CA	Team lift out	Other	100.0%

Relationships

Controls (3)

← V••••••••• J•••• L••OwnerPRINCIPAL/PRESIDENT, ownership code C, individual
Mar 28, 2012 to presentfactForm ADV
← S••••••••• R••••••• C••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
May 21, 2012 to presentfactForm ADV
← V••••••••• W••••••• J•OwnerOWNER, ownership code E, individual
Mar 31, 2015 to presentfactForm ADV

Registered with (6)

← MATTHEW OSCAR VERAAdvisor

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0c9f27f9-9a38-4e00-4483-27b952d204e8
First observed: Mar 28, 2012
Last observed: Apr 30, 2015 138 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.