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

$1.4BItem 5.F on the latest filing (2012-04-25); as reported, and an affiliate's assets may be counted again on its own filing

Discretionary RAUM

$1.4B

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

Accounts

3

Private funds

3Schedule D 7.B(1)

Private fund GAV

$1.4Bgross asset value as reported per fund; never fund size

Custody, client assets

$670M

SEC number

801-73412

CRD

136068

Filings on the tape

4

First filed

Feb 13, 2012

Latest filed

Apr 25, 2012

Organised

Other (specify), California

Graph

RIA / Wealth Management

Canonical id

dfx:ria:284b2c18-3e57-530c-e85f-360448518999

First observed

Feb 13, 2012

Last observed

Apr 25, 2012 175 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.