DFX Intelligence

F•••• R••••••• S••••••••• C••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

F•••• R••••••• S••••••••• C••••••• L••

CRD 105108

SAN FRANCISCO, CA

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Search this name across graphsid dfx:ria:30a43b38-780e-9d0f-39a4-a14d92a13acc

Data as of Mar 28, 2014 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:50 PM UTC and rebuilt at most every 15 minutes.

Relationships: 14
Dated events: 0
On other graphs: 3
Observed: Apr 10, 2012 to Mar 28, 2014
6 observations

Across DFX

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

Private Equityidentity

F•••• R••••••• S••••••••• C••••••• L••

Intermediary · shared crd

Venture Capitalidentity

F•••• R••••••• S••••••••• C••••••• L••

Venture manager · shared crd

Real Estate Fundsidentity

F•••• R••••••• S••••••••• C••••••• L••

Affiliate · 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
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Employees: 3
Advisory employees: 0
Custody, client assets: $0
SEC number: 801-71759
CRD: 105108
Filings on the tape

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	F•••• seen	Last seen
A••••••••• K••••••••	Director	Na	yes	10/2000	Apr 10, 2012	Mar 28, 2014
F•••• R••••••• B•••	PARENT COMPANY	E	yes	07/2010	Apr 10, 2012	Mar 28, 2014

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
F•••• R••••••• I••••••••• M••••••••• I•••	n/a	Former SEC adviser	$86B	N	yes	n/a
F•••• R••••••• B•••	n/a	n/a	n/a	N	yes	CA
F•••• R••••••• T•••• C•••••• O• D•••••••

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2013	Mar 28, 2014	n/a	n/a	3	0	n/a	n/a	n/a
2012	Feb 12, 2013

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2013	n/a	n/a	n/a	n/a	n/a	3	3	n/a	n/a

Relationships

Affiliated with (1)

→ J••• M••••• P•••••• W••••• A••••••• L••Registered adviserother investment adviser, bank, common control
factForm ADV

Owns (7)

← P••••• R••••• C••••OwnerFINOP / CFO, ownership code NA, individual
Apr 10, 2012 to presentfactForm ADV
← T•••••••• R••••• L•• J•OwnerDIRECTOR, ownership code NA, individual
Apr 10, 2012 to presentfactForm ADV
← G••••• J••• P••••••OwnerMSRB PRINCIPAL/ROP, ownership code NA, individual

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:30a43b38-780e-9d0f-39a4-a14d92a13acc
First observed: Apr 10, 2012
Last observed: Mar 28, 2014 152 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.