DFX Intelligence

S•••••• V••••• W••••• M••••••••• S••••••••• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

S•••••• V••••• W••••• M••••••••• S••••••••• I•••

CRD 159702

SAN JOSE, CA

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Search this name across graphsid dfx:ria:36a58267-7e20-b37c-2326-870c8372510f

Data as of Sep 26, 2012 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:53 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Dec 13, 2011 to Sep 26, 2012
6 observations

Across DFX

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.

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
Regulatory AUM: $8.9M••• Locked
Discretionary RAUM: $0
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor: $8.9Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
T••• A••••• S••••	n/a	SAN JOSE, CA	0	30	4	no

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
S••••• T•••• A•••••	PRESIDENT & CHIEF COMPLIANCE OFFICER	E	yes	01/2012	Dec 13, 2011	Sep 26, 2012

Advisor flows

••• Locked

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

Relationships

Registered with (1)

← T••• A••••• S••••Advisorregistration: previous registration
Jan 6, 2012 to Dec 31, 2017factForm ADV

Controls (1)

← S••••• T•••• A•••••OwnerPRESIDENT & CHIEF COMPLIANCE OFFICER, ownership code E, individual
Dec 13, 2011 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:36a58267-7e20-b37c-2326-870c8372510f
First observed: Dec 13, 2011
Last observed: Sep 26, 2012 170 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.