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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

NB WEALTH MANAGEMENT LLC

CRD 283016

SAN FRANCISCO, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:3906d450-aea9-aa0f-1dbe-2b2f8e396990

Data as of Mar 10, 2017 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:12 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: May 18, 2016 to Mar 10, 2017
4 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: $163MItem 5.F on the latest filing (2017-03-10); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 3
Advisory employees: 1
Accounts: 2
SEC number: 801-107880
CRD: 283016
Filings on the tape: 4
First filed: May 18, 2016
Latest filed: Mar 10, 2017
Organised: Limited Liability Company, California

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
CHANG, MICHAEL, SHIH-JUNG	Owner	E	yes	01/2016	May 18, 2016	Mar 10, 2017
CHANG, MICHAEL, SHIH-JUNG	CHIEF EXECUTIVE OFFICER	Na	yes	12/2015	May 18, 2016	Mar 10, 2017
MOSHER, MICHAEL, EDWARD	CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER	Na	yes	12/2015	May 18, 2016	Mar 10, 2017
U.S. CORE HOLDINGS LLC	Owner	E	yes	12/2015	May 18, 2016	Mar 10, 2017

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
SAN JOSE	CA	United States	n/a	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2016	Mar 10, 2017	$163M	$0	3	1	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2016	$163M	n/a	n/a	n/a	n/a	3	n/a	n/a	n/a

Relationships

Controls (3)

← MOSHER, MICHAEL, EDWARDOwnerCHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER, ownership code NA, individual
May 18, 2016 to presentfactForm ADV
← CHANG, MICHAEL, SHIH-JUNGOwnerOWNER, ownership code E, individual
May 18, 2016 to presentfactForm ADV
← U.S. CORE HOLDINGS LLCOwnerOWNER, ownership code E, domestic entity
May 18, 2016 to presentfactForm ADV

Registered with (2)

← Michael Edward MosherAdvisorregistration: previous registration
Jun 27, 2016 to Jul 19, 2017factForm ADV
← Lucas Andrew MosherAdvisorregistration: previous registration
Jun 27, 2016 to Aug 25, 2016factForm ADV

Dated events

Occurred
May 18, 2016
First Form ADV filing
Nb Wealth Management Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3906d450-aea9-aa0f-1dbe-2b2f8e396990
First observed: May 18, 2016
Last observed: Mar 10, 2017 116 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.

NB WEALTH MANAGEMENT LLC

CRD 283016

SAN FRANCISCO, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:3906d450-aea9-aa0f-1dbe-2b2f8e396990

Data as of Mar 10, 2017 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:12 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CHANG, MICHAEL, SHIH-JUNG

Owner

yes

01/2016

May 18, 2016

Mar 10, 2017

CHANG, MICHAEL, SHIH-JUNG

CHIEF EXECUTIVE OFFICER

yes

12/2015

May 18, 2016

Mar 10, 2017

MOSHER, MICHAEL, EDWARD

CHIEF OPERATING OFFICER, CHIEF COMPLIANCE OFFICER

yes

12/2015

May 18, 2016

Mar 10, 2017

U.S. CORE HOLDINGS LLC

Owner

yes

12/2015

May 18, 2016

Mar 10, 2017

City

State

Country

Employees

Also broker-dealer

SAN JOSE

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2016

Mar 10, 2017

$163M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2016

$163M

n/a