DFX Intelligence
Reading the graph
Reading the graph
The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.
CRD 307265
WALNUT CREEK, CA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| J•• E• H•••••••• | Certified Financial Planner | WALNUT CREEK, CA | 6 | 26 | 1 | no |
| J•••• M•••••• S••••• | n/a | WALNUT CREEK, CA | 6 | 12 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| H••••••••• J••• E• | GRANTOR & TRUSTEE | E | yes | 04/2015 | Jan 22, 2020 | Nov 13, 2024 |
| H••••••••• J••• E• | FOUNDER AND CHIEF INVESTMENT OFFICER | Na | yes | 02/2020 | Jan 22, 2020 | Nov 13, 2024 |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 13, 2026 |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 1 | 0 | 1 | 0.0% | 0 | 0 | 0 | 3 | 2 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $227M | $195M | 16.7% | $145M | 16.1% | 8 | 7 | 0 | 0 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| M•••••• L••••• P•••••• F••••• • S•••• I••••••••• | 2 | Feb 25, 2020 | Jan 2, 2025 | SAN FRANCISCO, CA | Team lift out | Wirehouse to new firm | 0.0% |
| no |
| G•••••• Z• V••• | n/a | WALNUT CREEK, CA | 1 | 25 | 1 | no |
| C••• S•••••• M••••••• | n/a | WALNUT CREEK, CA | 1 | 10 | n/a | no |
| J•••• Q•• | n/a | WALNUT CREEK, CA | 0 | 18 | n/a | no |
| S••• M•••••• O•••••• | n/a | WALNUT CREEK, CA | 0 | 21 | 3 | no |
| MANAGING MEMBER |
| E |
| yes |
| 02/2020 |
| Jan 22, 2020 |
| Nov 13, 2024 |
| R•••••••• D••••• J•••• | CHIEF COMPLIANCE OFFICER | Na | no | 03/2024 | Apr 19, 2024 | Nov 13, 2024 |
| $227M |
| $223M |
| 8 |
| 4 |
| 0 |
| n/a |
| n/a |
| 2024 | Apr 18, 2025 | $195M | $193M | 7 | 4 | 0 | n/a | n/a |
| 2023 | Feb 23, 2024 | $168M | $168M | 8 | 6 | 0 | n/a | n/a |
| 2022 | Mar 16, 2023 | $145M | $145M | 7 | 5 | 0 | n/a | n/a |
| 2021 | Mar 21, 2022 | $163M | $158M | 6 | 3 | 0 | n/a | n/a |
| 2020 | Mar 9, 2021 | $121M | $121M | 7 | 5 | 1 | n/a | n/a |