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

MARKS THERIOT WALSTON & COMPANY, INC.

CRD 152694

LOS ANGELES, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:1fb8cdc5-bc62-8631-89ac-ad103e99dfd5

Data as of Jan 16, 2013 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:46 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Mar 28, 2012 to Jan 16, 2013
11 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: $74.1MItem 5.F on the latest filing (2013-01-16); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $72.9M
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: 0
Employees: 2
Advisory employees: 2
Accounts: 87
SEC number: 801-71070
CRD: 152694
Filings on the tape: 11
First filed: Mar 28, 2012
Latest filed: Jan 16, 2013
Organised: Corporation, California

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
THERIOT, TEDDY, JAMES	TREASURER, CFO	C	yes	01/2010	Mar 28, 2012	Jan 16, 2013
WALSTON, JACK, HANLEY	PRESIDENT, CHIEF COMPLIANCE OFFICER	C	yes	01/2010	Mar 28, 2012	Jan 16, 2013
ESTATE OF CHRISTOPHER E. MARKS	Owner	C	no	09/2012	Oct 10, 2012	Jan 16, 2013

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
THERIOT WALSTON INC.	n/a	n/a	n/a	Y	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Mar 28, 2012	$74.1M	$72.9M	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2011	$74.1M	n/a	n/a	n/a	n/a	2	n/a	n/a	n/a

Relationships

Controls (2)

← THERIOT, TEDDY, JAMESOwnerTREASURER, CFO, ownership code C, individual
Mar 28, 2012 to presentfactForm ADV
← WALSTON, JACK, HANLEYOwnerPRESIDENT, CHIEF COMPLIANCE OFFICER, ownership code C, individual
Mar 28, 2012 to presentfactForm ADV

Owns (1)

← ESTATE OF CHRISTOPHER E. MARKSOwnerOWNER, ownership code C, domestic entity
Oct 10, 2012 to presentfactForm ADV

Registered with (1)

← TEDDY JAMES THERIOTAdvisorregistration: previous registration
Oct 29, 2012 to Jul 29, 2013factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1fb8cdc5-bc62-8631-89ac-ad103e99dfd5
First observed: Mar 28, 2012
Last observed: Jan 16, 2013 166 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.

MARKS THERIOT WALSTON & COMPANY, INC.

CRD 152694

LOS ANGELES, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:1fb8cdc5-bc62-8631-89ac-ad103e99dfd5

Data as of Jan 16, 2013 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 5:46 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

THERIOT, TEDDY, JAMES

TREASURER, CFO

yes

01/2010

Mar 28, 2012

Jan 16, 2013

WALSTON, JACK, HANLEY

PRESIDENT, CHIEF COMPLIANCE OFFICER

yes

01/2010

Mar 28, 2012

Jan 16, 2013

ESTATE OF CHRISTOPHER E. MARKS

Owner

09/2012

Oct 10, 2012

Jan 16, 2013

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

THERIOT WALSTON INC.

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2011

Mar 28, 2012

$74.1M

$72.9M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2011

$74.1M

n/a