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CRD 130032
SAN MATEO, CA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| DOMINIC JULIO BALDINI | n/a | SAN MATEO, CA | 22 | 27 | n/a | yes |
| KATHLEEN FRANCES MORRISSEY | n/a | SAN MATEO, CA | 20 | 24 | 2 | yes |
| KRISTIAN DANIEL COLVIN | Certified Financial Planner | LA JOLLA, CA | SAN MATEO, CA | 17 | 29 | 1 | yes |
| GREGORY JONATHAN RITTER | n/a | DELAWARE, OH | SAN MATEO, CA | 15 | 25 | 2 | yes |
| FORREST JAMES | n/a | Irvine, CA | SAN MATEO, CA | 12 | 25 | 3 | yes |
| JOSHUA DAVID CHAPIN | n/a | Corona Del Mar, CA | SAN MATEO, CA | 10 | 15 | 2 | yes |
| TODD NATHAN CONDIFF | n/a | SACHSE, TX | SAN MATEO, CA | 10 | 21 | 2 | yes |
| KEVIN JON HICKAM | Chartered Financial Analyst | SAN MATEO, CA | Irvine, CA | 10 | 12 | n/a | yes |
| ANDREW COURTICE BAGNALL | Certified Financial Planner | SAN MATEO, CA | SEATTLE, WA | 9 | 35 | 4 | yes |
| ERICK BAER | n/a | Redondo Beach, CA | SAN MATEO, CA | 8 | 31 | 6 | yes |
| Matthew Peter Larson | n/a | SAN MATEO, CA | 7 | 11 | n/a | yes |
| ZACK STEVEN BROUGH | n/a | SAN MATEO, CA | APTOS, CA | 7 | 20 | n/a | yes |
| TONI LYNN SUTHERLAND | n/a | SAN MATEO, CA | APTOS, CA | 7 | 30 | 7 | yes |
| RYAN JONATHAN SHERER | n/a | Reno, NV | Los Gatos, CA | SAN MATEO, CA | 7 | 13 | 4 | yes |
| TIMOTHY JOHN SHERER | Chartered Financial Consultant | SAN MATEO, CA | Reno, NV | Los Gatos, CA | 7 | 37 | 5 | yes |
| WEN CHE | n/a | Torrance, CA | SAN MATEO, CA | Irvine, CA | 7 | 10 | 1 | yes |
| JAMES MARTIN HICKEY | n/a | SAN MATEO, CA | Las Vegas, NV | 7 | 40 | n/a | yes |
| JAMES MICHAEL WHITSON | n/a | SAN MATEO, CA | Irvine, CA | Santa Barbara, CA | 6 | 27 | 1 | yes |
| JEFF W WEBB | n/a | SAN MATEO, CA | Wheat Ridge, CO | 6 | 20 | 2 | yes |
| GERMAINE MA | n/a | Chino, CA | Irvine, CA | 6 | 12 | n/a | yes |
| JOHN EDWARD HOFFMAN | n/a | Irvine, CA | San Diego, CA | 6 | 39 | 5 | yes |
| RYAN DAVID FINCH | Certified Financial Planner | Irvine, CA | Greenwood Village, CO | 6 | 13 | 2 | yes |
| Zhi Ying Guan | n/a | SAN MATEO, CA | San Jose, CA | 5 | 10 | n/a | yes |
| GREGORY ATKINS SCOTT | n/a | Douglasville, GA | SAN MATEO, CA | 5 | 16 | 1 | yes |
| JOHN PAUL LEDESMA | n/a | Irvine, CA | 5 | 32 | 2 | yes |
| Fund | Type | Reported GAV | As of | Owners | First reported | Status | Form D file |
|---|---|---|---|---|---|---|---|
| NEOWAVE EQUITY FUND LLC | Private Equity Fund | $500,000 | Apr 26, 2012 | 5 | Mar 27, 2012 | dropped | 021-141494 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| BALDINI, DOMINIC JULIO | MANAGING MEMBER, PRESIDENT, GENERAL SECURITIES PRINCIPAL, CHIEF COMPLIANCE OFFICER, OPTIONS PRINCIPAL, MUNI PRINCIPAL, FINOP | E | yes | 12/2003 | Mar 27, 2012 | Mar 28, 2024 |
| STRIFE, JACLYN DEANNE | DIRECT OWNER IN OCEANIC PARTNERS, INC. | D | yes | 09/2014 | Mar 17, 2021 | Mar 28, 2024 |
| SULLIVAN, TIMOTHY EVAN | DIRECT OWNER IN OCEANIC PARTNERS, INC. | D | yes | 09/2014 | Mar 17, 2021 | Mar 28, 2024 |
| MORRISSEY, KATHLEEN FRANCES | CHIEF OPERATIONS OFFICER | Na | no | 08/2016 | Mar 17, 2021 | Mar 28, 2024 |
| SNYDER, SEAN KRISTIAN | CHIEF STRATEGY OFFICER | Na | no | 04/2017 | Mar 17, 2021 | Mar 28, 2024 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| LOS GATOS | CA | United States | 2 | yes |
| AGOURA HILLS | CA | United States | 1 | yes |
| Aptos | CA | United States | 1 | yes |
| Irvine | CA | United States | 1 | yes |
| LA JOLLA | CA | United States | 1 | yes |
| ROLLING HILLS | CA | United States | 1 | yes |
| WOODLAND HILLS | CA | United States | 1 | yes |
| Reno | Nv | United States | 1 | yes |
| Delaware | Oh | United States | 1 | yes |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Apr 8, 2026 | $322M | $215M | 343 | 84 | 9 | n/a | n/a |
| 2024 | Mar 27, 2025 | $328M | $180M | 222 | 72 | 9 | n/a | n/a |
| 2023 | Mar 28, 2024 | $176M | $141M | 222 | 72 | 9 | n/a | n/a |
| 2022 | Mar 29, 2023 | $189M | $106M | 208 | 72 | 9 | n/a | n/a |
| 2021 | Jan 21, 2022 | $232M | $232M | 225 | 25 | 9 | n/a | n/a |
| 2011 | Mar 27, 2012 | $30.0M | $30.0M | n/a | n/a | n/a | 1 | $500,000 |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 10 | 3 | 7 | 3.7% | 1 | 0 | 0 | 33 | 9 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $322M | $328M | -1.9% | $189M | 19.3% | 343 | 222 | 9 | 9 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| MOLONEY SECURITIES ASSET MANAGEMENT LLC | 2 | Dec 12, 2025 | Dec 16, 2025 | LONG BEACH, CA | Team lift out | Ibd to ibd | 66.7% |
| KINGSWOOD WEALTH ADVISORS, LLC | 2 | Mar 19, 2025 | Mar 27, 2025 | SAN DIEGO, CA | Team lift out | Ibd to ibd | 2.1% |
| NI ADVISORS | 2 | May 16, 2024 | May 15, 2026 | CUPERTINO, CA | Team lift out | Other | 22.2% |
| SANDLAPPER WEALTH MANAGEMENT, LLC | 2 | Apr 15, 2019 | Apr 15, 2019 | GREENVILLE, SC | Team lift out | Other | 12.5% |