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CRD 908
SAN RAFAEL, 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 |
|---|---|---|---|---|---|---|
| D••••• H•••• S•••••••• | n/a | SAN RAFAEL, CA | Lodi, CA | 29 | 41 | n/a | yes |
| C••••••••• D••••• C•••••• | n/a | SAN RAFAEL, CA | 29 | 46 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| C••••••• C••••••••• D••••• | PRESIDENT, CCO CHIEF COMPLIANCE OFFICER | E | yes | 07/2002 | Mar 16, 2012 | Oct 17, 2024 |
| T•• K•• B• | CFO/POO FOR REGULATORY PURPOSES ONLY | Na | yes | 10/2019 | Jun 16, 2022 | Oct 17, 2024 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Lodi | CA | United States | 2 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 24, 2026 |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 0 | 0 | 0 | 0.0% | 0 | 0 | 0 | 0 | 0 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $145M | $133M | 9.3% | $109M | 10.0% | 9 | 9 | 1 | 1 |
| yes |
| N•••••• S•••••• | n/a | SAN RAFAEL, CA | Lodi, CA | 4 | 11 | n/a | no |
| D••• E•••••••• S•••••• | n/a | SAN RAFAEL, CA | 4 | 34 | 2 | yes |
| MUNICIPAL ADVISOR REPRESENTATIVE, DIRECTOR OF OPERATIONS, VICE PRESIDENT |
| A |
| no |
| 08/2022 |
| Mar 17, 2023 |
| Oct 17, 2024 |
| S••••••••• D••••• H•••• | SENIOR VICE PRESIDENT | A | no | 08/2000 | Jun 16, 2022 | Oct 17, 2024 |
| $145M |
| $145M |
| 9 |
| 3 |
| 1 |
| n/a |
| n/a |
| 2024 | Mar 26, 2025 | $133M | $133M | 9 | 3 | 1 | n/a | n/a |
| 2023 | Mar 18, 2024 | $124M | $124M | 10 | 3 | 1 | n/a | n/a |
| 2022 | Mar 17, 2023 | $109M | $109M | 10 | 3 | 1 | n/a | n/a |
| 2011 | Mar 16, 2012 | $58.9M | $57.3M | n/a | n/a | n/a | n/a | n/a |