DFX Intelligence

I•••••• C•••••• R••••••• • M••••••••• I••: registered adviser on the ria / wealth management graph | DFX Data Factory

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

I•••••• C•••••• R••••••• • M••••••••• I••

CRD 105570

WALNUT CREEK, CA

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Search this name across graphsid dfx:ria:4601c329-b944-44dd-43a8-0dd0c3afe805

Data as of Sep 6, 2017 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:39 PM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 0
On other graphs: 0
Observed: Mar 27, 2012 to Sep 6, 2017
13 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: $205M••• Locked
Discretionary RAUM: $205M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 7
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••••• J••••• O••••	CHAIRMAN, CEO AND CCO, TRUSTEE	E	yes	02/1998	Mar 27, 2012	Sep 6, 2017
T••••••••• L•••••• C•	Director	Na	no	06/2008	Mar 27, 2012	Sep 6, 2017

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2016

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2016	$205M	$367M	-44.0%	$473M	-24.3%	7	11	n/a	n/a

Relationships

Controls (1)

← C••••••• J••••• O••••OwnerCHAIRMAN, CEO AND CCO, TRUSTEE, ownership code E, individual
Mar 27, 2012 to presentfactForm ADV

Owns (2)

← T••••••••• V•••••OwnerDIRECTOR, ownership code NA, individual
Mar 27, 2012 to presentfactForm ADV
← T••••••••• L•••••• C•OwnerDIRECTOR, ownership code NA, individual
Mar 27, 2012 to presentfactForm ADV

Registered with (6)

← D••••• G••••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4601c329-b944-44dd-43a8-0dd0c3afe805
First observed: Mar 27, 2012
Last observed: Sep 6, 2017 110 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.