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CRD 294019
SANTA ROSA, CA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| CHAMBERS, TIMOTHY, ALLEN | MANAGING MEMBER | D | yes | 03/2018 | Mar 9, 2018 | Jan 24, 2024 |
| NAY, AUDRA, CHRISTINE | CHIEF COMPLIANCE OFFICER & CHIEF OPERATING OFFICER | Na | yes | 03/2018 | Mar 9, 2018 | Jan 24, 2024 |
| TRAVERSO, MARC, ANTHONY | MANAGING MEMBER | D | yes | 03/2018 | Mar 9, 2018 | Jan 24, 2024 |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2023 | Jan 24, 2024 | $553M | $552M | 6 | 4 | 0 | n/a | n/a |
| 2022 | Feb 15, 2023 | $452M | $447M | 6 | 4 | 0 | n/a | n/a |
| 2021 | Mar 2, 2022 | $469M | $469M | 6 | 4 | 0 | n/a | n/a |
| 2020 | Mar 18, 2021 | $392M | $392M | 5 | 4 | 0 | n/a | n/a |
| 2019 | Mar 2, 2020 | $363M | $363M | 5 | 4 | 0 | n/a | n/a |
| 2018 | Feb 1, 2019 | $299M | $299M | 5 | 4 | 0 | n/a | n/a |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2023 | $553M | $452M | 22.3% | $392M | 12.1% | 6 | 6 | 0 | 0 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| MAI CAPITAL MANAGEMENT, LLC | 3 | Jan 30, 2024 | Feb 23, 2024 | SANTA ROSA, CA | Firm absorbed | RIA to RIA | 75.0% |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| WELLS FARGO ADVISORS | 4 | May 21, 2018 | Apr 9, 2018 | SANTA ROSA, CA | Team lift out | Wirehouse to new firm | 0.3% |