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CRD 108603
SANTA BARBARA, CA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| A•••• C••••••• M•••• | n/a | SANTA BARBARA, CA | 9 | 54 | 1 | no |
| N••••••• B••••• B••• | n/a | SANTA BARBARA, CA | Oakland, CA | 3 | 16 |
| Fund | Type | Reported GAV | As of | Owners | First reported | Status | Form D file |
|---|---|---|---|---|---|---|---|
| D••••••• G••••• F•••• L•• | Other Private Fund | $6.1M | Mar 31, 2015 | 11 | Mar 30, 2012 | dropped | n/a |
| D••••••• B••••••• F••• | Other Private Fund | $4.0M |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| M••••• A••••• C••••••• | PRESIDENT AND CCO | E | yes | 11/1974 | Mar 30, 2012 | Jul 12, 2017 |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2016 | Mar 31, 2017 |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 0 | 0 | 0 | 0.0% | 0 | 0 | 0 | 0 | 0 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2016 | $24.2M | $236M | -89.8% | $233M | -53.0% | 1 | 2 | n/a | n/a |
| no |
| 11 |
| Mar 30, 2012 |
| dropped |
| n/a |
| D••••••• A••••••••• L•• | Other Private Fund | $2.8M | Mar 31, 2015 | 11 | Mar 30, 2012 | dropped | n/a |
| D••••••• I••••••••• F•••• L•• | Other Private Fund | $2.2M | Mar 31, 2015 | 11 | Mar 30, 2012 | dropped | n/a |
| D••••••• M•••• M••••• F•••• L•• | Other Private Fund | $749,318 | Mar 31, 2015 | 11 | Mar 30, 2012 | dropped | n/a |
| D•••••• P••••••• L• | Hedge Fund | $556,979 | Mar 31, 2015 | 25,000 | Mar 30, 2012 | dropped | n/a |
| D••••••• G••••• E•• F•••• L•• | Other Private Fund | $354,139 | Mar 31, 2015 | 11 | Mar 30, 2012 | dropped | n/a |
| D••••••• A••••••••• E•• F•••• L•• | Other Private Fund | $263,469 | Mar 31, 2015 | 11 | Mar 30, 2012 | dropped | n/a |
| $25.4M |
| $22.6M |
| 1 |
| 1 |
| n/a |
| n/a |
| n/a |
| 2015 | Mar 30, 2016 | $236M | $236M | 2 | 2 | n/a | n/a | n/a |
| 2014 | Mar 31, 2015 | $189M | $189M | 6 | 4 | n/a | 8 | $17.1M |
| 2013 | Mar 31, 2014 | $233M | $229M | 6 | 4 | n/a | 8 | $16.9M |
| 2012 | Mar 28, 2013 | $210M | $206M | 6 | 4 | n/a | 8 | $13.4M |
| 2011 | Mar 30, 2012 | $217M | $213M | n/a | n/a | n/a | 8 | $13.4M |