DFX Intelligence

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

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

N•••••• C•••••• M•••••••••

S••••• A. N•••••• & ASSOCIATES, INC., CRD 110654

LAFAYETTE, CA

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Search this name across graphsid dfx:ria:1502baa5-88e4-a731-f4ea-c06b37a25ae6

Data as of Jun 12, 2012 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:26 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Feb 1, 2012 to Jun 12, 2012
4 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: $36.8M••• Locked
Discretionary RAUM: $36.8M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 88
SEC number

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
M••••••• M••••••• H•••••	VICE PRESIDENT, PORTFOLIO MANAGER, AND CHIEF COMPLIANCE OFFICER	Na	yes	09/1992	Feb 1, 2012	Jun 12, 2012
M•••••••• D••••••• N••••••	VICE PRESIDENT RESEARCH	Na	yes	05/2002	Feb 1, 2012	Jun 12, 2012

Relationships

Controls (4)

← N••••••• S•••••• A•••OwnerOWNER, ownership code E, individual
Feb 1, 2012 to presentfactForm ADV
← M••••••• M••••••• H•••••OwnerVICE PRESIDENT, PORTFOLIO MANAGER, AND CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Feb 1, 2012 to presentfactForm ADV
← M•••••••• D••••••• N••••••OwnerVICE PRESIDENT RESEARCH, ownership code NA, individual
Feb 1, 2012 to presentfactForm ADV
← S••••• A• N•••••• • L•••• N•••••• L••••• T••••• U•••• 0•••••••• T•••• A•OwnerOWNER, ownership code E, domestic entity
Feb 1, 2012 to present

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1502baa5-88e4-a731-f4ea-c06b37a25ae6
First observed: Feb 1, 2012
Last observed: Jun 12, 2012 173 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.