DFX Intelligence

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

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

S••••• C•••••• M••••••••• L••

CRD 136021

ORINDA, CA

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Search this name across graphsid dfx:ria:19818330-cf65-7c60-3ea4-7e49ab62f918

Data as of Mar 23, 2020 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:29 AM UTC and rebuilt at most every 15 minutes.

Relationships: 18
Dated events: 0
On other graphs: 1
Observed: Mar 30, 2012 to Mar 23, 2020
18 observations

Across DFX

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

Real Estate Fundsidentity

S••••• C•••••• M••••••••• L••

Real estate fund manager · 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: $14.7M••• Locked
Discretionary RAUM: $14.7M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 1
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
S•• S•••••• F•••• L•	Real Estate Fund	$3.9M	Nov 12, 2012	2	Mar 30, 2012	dropped	n/a
S•• S•••••• F••• 2• L•	Real Estate Fund	$2.5M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D••••• R•••••• E•••	MANAGING DIRECTOR/CHIEF INVESTMENT OFFICER/PRESIDENT	Na	yes	05/2005	Mar 30, 2012	Mar 23, 2020
F•••••• G•••• W••••••	MANAGING DIRECTOR/CHIEF OPERATING OFFICER	Na	yes	05/2005	Mar 30, 2012	Mar 23, 2020

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
M•• A•••••••• L•	n/a	Asset manager	$118M	Y	yes	n/a
A••••• S•••••	n/a	n/a	n/a	Y	yes	n/a
C•••••• P•••••••• I•

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2019

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	$14.7M	$13.8M	7.0%	$3.3M	64.3%	1	1	0	1

Relationships

Affiliated with (1)

→ M•• A•••••••• L•Registered adviserother investment adviser, control, common control
factForm ADV

Controls (9)

← M•• A•••••••• L•OwnerOWNER, ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV
← P••••••••• B•••••••• A•••OwnerLIMITED PARTNER, ownership code C, individual
Mar 30, 2012 to presentfactForm ADV
← F•••••• G•••• W••••••OwnerMANAGING DIRECTOR/CHIEF OPERATING OFFICER, ownership code NA, individual

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:19818330-cf65-7c60-3ea4-7e49ab62f918
First observed: Mar 30, 2012
Last observed: Mar 23, 2020 79 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.