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T••••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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

T••••••••• L••

CRD 44274

SAN F••••••••, CA

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Data as of Sep 28, 2012 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:43 PM UTC and rebuilt at most every 15 minutes.

Relationships: 26
Dated events: 0
On other graphs: 0
Observed: Dec 9, 2011 to Sep 28, 2012
5 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: $172M••• Locked
Discretionary RAUM: $172M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 416
SEC number

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••••••• M•••••• B•••••••	CHIEF OPERATING OFFICER OF RESEARCH	Na	yes	10/2011	Dec 9, 2011	Sep 28, 2012
B••••• H•••••• J••••	CHIEF COMPLIANCE OFFICER	Na	yes	02/2005	Dec 9, 2011	Sep 28, 2012

Offices

••• Locked

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

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Mar 29, 2012	$172M	$172M	n/a	n/a	n/a	n/a	n/a

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2011	$172M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Controls (9)

← B••••• H•••••• J••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Dec 9, 2011 to presentfactForm ADV
← W•••••• G•••••• L••••OwnerSHAREHOLDER/OWNER, ownership code C, individual
Dec 9, 2011 to presentfactForm ADV
← J•••••••• P••••• M•••••OwnerHEAD OF SALES TRADING, ownership code NA, individual
Dec 9, 2011 to presentfactForm ADV
← H•••••• H•••• J••OwnerHEAD OF INSTUTIONAL SALES & DIRECTOR OF RESEARCH, ownership code NA, individual
Dec 9, 2011 to present

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Dec 9, 2011
Last observed: Sep 28, 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.

All 13 rows

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
M•••••• F•••••••• J•••••	CONTROLLER/FINOP	Na	no	02/2012	Mar 29, 2012	Sep 28, 2012
M•••••••• J••• G••••••	HEAD OF TRADING	Na	no	07/2011	Dec 9, 2011	Sep 28, 2012
W••••••••• D•••• A•••••	CROP & SROP	Na	no	01/2007	Dec 9, 2011	Sep 28, 2012