DFX Intelligence

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

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RIA / WealthRegistered adviserno raum reportedSEC registeredRAUM none

A••••••• A•••••• L••

CRD 126582

SAN FRANCISCO, CA

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Search this name across graphsid dfx:ria:2f1aa4c9-5be3-8203-c5fe-bfed64567797

Data as of Jun 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:56 PM UTC and rebuilt at most every 15 minutes.

Relationships: 23
Dated events: 11
On other graphs: 1
Observed: Mar 29, 2012 to Jun 30, 2026
26 observations

Across DFX

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

Allocatorsidentity

A••••••• A•••••• L••

Investment consultant · key crd, shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: no raum reportedderivedprivate_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $0••• Locked
Discretionary RAUM: $0
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 10
Employees: 125
Advisory employees: 74
Offices: 1Schedule D 1.F, beyond the principal office

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
J••• R•••••• C••••••	n/a	SAN FRANCISCO, CA	20	23	n/a	no
A••••• D••••• M••••••••	n/a	SAN FRANCISCO, CA	18	18

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••••• P••••••• •••••••••	SOLE MEMBER - ORDINARY SHARES	E	yes	08/2001	Mar 29, 2012	Aug 29, 2024
A••••••• P••••••• L••••••	ORDINARY SHAREHOLDER	E	yes	11/1994	Mar 29, 2012	Aug 29, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A••••••• C••••• L••••••	n/a	n/a	n/a	N	yes	n/a
A••••••• P••••••• ••••• L••••••	n/a	n/a	n/a	N	yes	n/a
A••••••• P••••••• •••••••• L••••••	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Stamford	Ct	United States	47	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2024	Jun 28, 2024	n/a	n/a	120	77	1	n/a	n/a
2023	Jun 29, 2023

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
1	0	1	0.0%	0	0	0	2	0

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2024	$0	n/a	n/a	n/a	n/a	125	121	1	1

Relationships

Registered with (11)

← W•••••• G• G••••••••Advisorregistration: current employment
Jan 5, 2026 to presentfactForm ADV
← G• S•••••• K••••••Advisorregistration: current employment
Jan 1, 2026 to presentfactForm ADV
← T••••• S•••••• C•••••••Advisorregistration: current employment
Jan 1, 2026 to presentfactForm ADV
← J••• P••• S•••••••

Dated events

Occurred
Jun 30, 2026
Ria indirect owner change
••• Locked
Form ADVobserved today
Occurred
Jun 30, 2026
Ria indirect owner change
••• Locked
Form ADVobserved today
Occurred
Jun 30, 2026
Ria indirect owner change
••• Locked
Form ADVobserved today
Occurred
Aug 29, 2024

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2f1aa4c9-5be3-8203-c5fe-bfed64567797
First observed: Mar 29, 2012
Last observed: Jun 30, 2026 2 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.