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.

Firm class

former SEC adviserderivedabsent from the latest SEC roster

Regulatory AUM

$45.9MItem 5.F on the latest filing (2012-01-03); as reported, and an affiliate's assets may be counted again on its own filing

Discretionary RAUM

$45.9M

Private client RAUM

$0derivedItem 5.D individuals plus high net worth individuals

Private client share

0%derivedprivate client RAUM over total RAUM

Advisors on IAPD

1

RAUM per advisor

$45.9Mderivedthe firm's RAUM over its IAPD headcount: a firm average, never a person's book

Accounts

156

SEC number

801-67575

CRD

111716

Filings on the tape

3

First filed

Nov 7, 2011

Latest filed

Jan 3, 2012

Organised

Limited Liability Company, California

Graph

RIA / Wealth Management

Canonical id

dfx:ria:1dc78a5d-c588-508e-bd00-0ca3ddeacd26

First observed

Nov 7, 2011

Last observed

Jan 3, 2012 179 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.