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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

ROBERTSON STEPHENS ADVISORS

ROBERTSON STEPHENS ADVISORS LLC, CRD 166736

SAN FRANCISCO, 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:252993d3-c513-5fc2-0495-b0d5c3f87435

Data as of Jan 12, 2018 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:09 PM UTC and rebuilt at most every 15 minutes.

Relationships: 28
Dated events: 1
On other graphs: 2
Observed: Mar 21, 2013 to Jan 12, 2018
56 observations

Across DFX

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

Private Equityidentity

Robertson Stephens Advisors

Intermediary · shared crd

Venture Capitalidentity

Robertson Stephens Advisors

Venture 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: $469MItem 5.F on the latest filing (2018-01-12); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $469M
Private client RAUM: $469MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 13
Advisory employees: 8
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 269
Individual clients: 16
High net worth clients: 48
Private funds: 7Schedule D 7.B(1)
Private fund GAV: $26.1Mgross asset value as reported per fund; never fund size
Custody, client assets: $26.1M
SEC number: 801-77828
CRD: 166736
Filings on the tape: 56
First filed: Mar 21, 2013
Latest filed: Jan 12, 2018
Organised: Limited Liability Company, Delaware

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
BRITT, HARRIET, JAYNE	CHIEF COMPLIANCE OFFICER	Na	yes	12/2017	Jan 12, 2018	Jan 12, 2018
CODDINGTON, JEFFREY, MICHAEL	Cfo	Na	yes	08/2017	Aug 17, 2017	Jan 12, 2018
ROBERTSON STEPHENS LLC	Owner	E	yes	02/2013	Mar 21, 2013	Jan 12, 2018
TIERNEY, JAMES, MICHAEL	President	Na	yes	08/2017	Aug 17, 2017	Jan 12, 2018
BTTF LLC	UNIT HOLDER	C	no	07/2013	Nov 26, 2013	Jan 12, 2018
BTTF LLC	Owner	Na	no	08/2013	Nov 26, 2013	Jan 12, 2018
WALLACE, MOLLY, ROSEMARIE	VICE PRESIDENT	Na	no	08/2017	Nov 21, 2017	Jan 12, 2018

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
ROBERTSON STEPHENS ASSET MANAGEMENT LLC	n/a	Former SEC adviser	$0	N	yes	n/a
ROBERTSON STEPHENS SECURITIES LLC	n/a	n/a	n/a	N	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
2016	Mar 29, 2017	$488M	$462M	20	17	n/a	7	$26.1M
2015	Mar 30, 2016	$856M	$608M	20	17	n/a	7	$26.1M
2014	Mar 13, 2015	$295M	$209M	17	15	n/a	n/a	n/a
2013	Jan 30, 2014	$185M	$185M	11	8	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
2016	$469M	$856M	-45.2%	$185M	36.3%	13	20	0	n/a

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
ROBERTSON STEPHENS	5	Jan 12, 2018	Jun 22, 2018	SAN FRANCISCO, CA	Firm absorbed	RIA to RIA	100.0%
CLAYBROOK CAPITAL, LLC	2	Jan 5, 2017	Jan 4, 2017	BOSTON, MA	Team lift out	Other	16.7%

Relationships

Affiliated with (2)

→ ROBERTSON STEPHENS ASSET MANAGEMENTRegistered adviserother investment adviser, common control
factForm ADV
← ROBERTSON STEPHENS ASSET MANAGEMENTRegistered adviserother investment adviser, common control
factForm ADV

Controls (4)

← TIERNEY, JAMES, MICHAELOwnerPRESIDENT, ownership code NA, individual
Aug 17, 2017 to presentfactForm ADV
← BRITT, HARRIET, JAYNEOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jan 12, 2018 to presentfactForm ADV
← CODDINGTON, JEFFREY, MICHAELOwnerCFO, ownership code NA, individual
Aug 17, 2017 to presentfactForm ADV
← ROBERTSON STEPHENS LLCOwnerOWNER, ownership code E, domestic entity
Mar 21, 2013 to presentfactForm ADV

Owns (2)

← WALLACE, MOLLY, ROSEMARIEOwnerVICE PRESIDENT, ownership code NA, individual
Nov 21, 2017 to presentfactForm ADV
← BTTF LLCOwnerUNIT HOLDER, ownership code C, domestic entity
Nov 26, 2013 to presentfactForm ADV

Moved with (2)

→ ROBERTSON STEPHENSRegistered adviser5 advisors, firm absorbed, same day
Jan 12, 2018 to Jun 22, 2018factForm ADV
→ CLAYBROOK CAPITAL, LLCRegistered adviser2 advisors, team lift out, same day
Jan 5, 2017 to Jan 4, 2017factForm ADV

Registered with (17)

← JAMES MICHAEL TIERNEYAdvisorregistration: previous registration
Sep 26, 2013 to Jan 12, 2018factForm ADV
← MICHAEL JOHN ZANINOVICHAdvisorregistration: previous registration
Feb 18, 2015 to Jan 12, 2018factForm ADV
← DANIEL ROBERT ROZANSKYAdvisorregistration: previous registration
Apr 7, 2014 to Jan 12, 2018factForm ADV
← Jeanette Garretty ReinhardAdvisorregistration: previous registration
Apr 7, 2014 to Jan 12, 2018factForm ADV
← HSIN LANGAdvisorregistration: previous registration
Jul 21, 2016 to Jan 12, 2018factForm ADV
← ANTHONY MICHAEL LINDNERAdvisorregistration: previous registration
Dec 11, 2013 to Nov 29, 2017factForm ADV
← JAMES PATRICK KOZAKAdvisorregistration: previous registration
Oct 12, 2015 to Oct 4, 2017factForm ADV
← RON L GUIDIAdvisorregistration: previous registration
Aug 9, 2013 to Aug 4, 2017factForm ADV
← YEN WUAdvisorregistration: previous registration
Jan 5, 2016 to May 25, 2017factForm ADV
← RICHARD ERIC LONGAdvisorregistration: previous registration
Sep 15, 2016 to Feb 16, 2017factForm ADV
← JERRY ANTHONY NIGROAdvisorregistration: previous registration
Jun 19, 2015 to Jan 5, 2017factForm ADV
← VIRGINIA ELIZABETH AARONAdvisorregistration: previous registration
Jun 18, 2015 to Jan 5, 2017factForm ADV
← SUSAN M REESEAdvisorregistration: previous registration
May 24, 2016 to Jan 3, 2017factForm ADV
← STEPHEN EDWARD FLORANCEAdvisorregistration: previous registration
May 3, 2016 to Nov 18, 2016factForm ADV
← GORDON ELIOT FALLONEAdvisorregistration: previous registration
Oct 12, 2015 to Oct 17, 2016factForm ADV
← NATHANIEL CONE MCPHAILAdvisorregistration: previous registration
May 29, 2014 to May 18, 2015factForm ADV
← MARY GAIL SYCAMOREAdvisorregistration: previous registration
Apr 24, 2014 to Feb 2, 2015factForm ADV

Dated events

Occurred
Mar 21, 2013
First Form ADV filing
Robertson Stephens Asset Management Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:252993d3-c513-5fc2-0495-b0d5c3f87435
First observed: Mar 21, 2013
Last observed: Jan 12, 2018 105 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.

ROBERTSON STEPHENS ADVISORS

ROBERTSON STEPHENS ADVISORS LLC, CRD 166736

SAN FRANCISCO, 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:252993d3-c513-5fc2-0495-b0d5c3f87435

Data as of Jan 12, 2018 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:09 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BRITT, HARRIET, JAYNE

CHIEF COMPLIANCE OFFICER

yes

12/2017

Jan 12, 2018

CODDINGTON, JEFFREY, MICHAEL

Cfo

yes

08/2017

Aug 17, 2017

Jan 12, 2018

ROBERTSON STEPHENS LLC

Owner

yes

02/2013

Mar 21, 2013

Jan 12, 2018

TIERNEY, JAMES, MICHAEL

President

yes

08/2017

Aug 17, 2017

Jan 12, 2018

BTTF LLC

UNIT HOLDER

07/2013

Nov 26, 2013

Jan 12, 2018

BTTF LLC

Owner

08/2013

Nov 26, 2013

Jan 12, 2018

WALLACE, MOLLY, ROSEMARIE

VICE PRESIDENT

08/2017

Nov 21, 2017

Jan 12, 2018

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

ROBERTSON STEPHENS ASSET MANAGEMENT LLC

n/a

Former SEC adviser

yes

n/a

ROBERTSON STEPHENS SECURITIES LLC

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2016

Mar 29, 2017

$488M

$462M

n/a

$26.1M

2015

Mar 30, 2016

$856M

$608M

n/a

$26.1M

2014

Mar 13, 2015

$295M

$209M

n/a

2013

Jan 30, 2014

$185M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2016

$469M

$856M

-45.2%

$185M

36.3%

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

ROBERTSON STEPHENS

Jan 12, 2018

Jun 22, 2018

SAN FRANCISCO, CA

Firm absorbed

RIA to RIA

100.0%

CLAYBROOK CAPITAL, LLC

Jan 5, 2017

Jan 4, 2017

BOSTON, MA

Team lift out

Other

16.7%