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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

O••••• F•••••••• T••••••••• I•••

CRD 104547

SUNNYVALE, CA

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Search this name across graphsid dfx:ria:45125663-0f0b-47fc-7da0-4d2eadc25692

Data as of Mar 30, 2012 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:15 AM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2012 to Mar 30, 2012
1 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: $0Item 5.F on the latest filing (2012-03-30); 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
Advisors on IAPD: 0
Accounts: 0
SEC number: 801-57420
CRD

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
B••••••• J•••••• T•••	CHAIRMAN, CEO AND DIRECTOR	Na	yes	12/2004	Mar 30, 2012	Mar 30, 2012
C•••••• W••••••• C•	PRESIDENT/MANAGING DIRECTOR	Na	yes	12/2004	Mar 30, 2012

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
E•••••••• A•••• M••••••••• I•••	n/a	Independent wealth	$615B	N	yes	n/a
E•••••••• P•••••••• S••••••••• I•••	n/a	Independent wealth	$17B	N	yes

Offices

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

City	State	Country	Employees	Also broker-dealer
Denver	Co	United States	n/a	no
Chicago	IL	United States	n/a	no
Boston	Ma	United States	n/a	no
Boston	Ma	United States	n/a	no
Landis	Nc

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
2011	Mar 30, 2012	$0	$0	n/a	n/a	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
2011	$0	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Affiliated with (3)

→ P•••••••• M••••••••• C••••••••• I•••Registered adviserother investment adviser, common control
factForm ADV
→ E•••••••• P•••••••• S••••••••• I•••Registered adviserother investment adviser, common control
factForm ADV
→ E•••••••• PMCRegistered adviserother investment adviser, common control
factForm ADV

Controls (9)

← B••••••• J•••••• T•••Owner

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:45125663-0f0b-47fc-7da0-4d2eadc25692
First observed: Mar 30, 2012
Last observed: Mar 30, 2012 176 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.