DFX Intelligence

B••••• • Y•••• A•••••••• 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

B••••• • Y•••• A•••••••• I•••

CRD 40395

FOLSOM, CA

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Search this name across graphsid dfx:ria:4c043960-ede5-1d59-3372-b03f98dbe506

Data as of May 1, 2012 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:20 AM UTC and rebuilt at most every 15 minutes.

Relationships: 168
Dated events: 0
On other graphs: 0
Observed: Dec 2, 2011 to May 1, 2012
8 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: $180M••• Locked
Discretionary RAUM: $180M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 1,060

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••••••• P•••••• S••••••••	Director	Na	yes	11/2011	Dec 2, 2011	May 1, 2012
G••••••••• J•••••	Director	Na	yes	11/2011	Dec 2, 2011	May 1, 2012

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S••••••••• A•••••• A•••••••• I•••	n/a	Former SEC adviser	$40B	N	yes	n/a
L•••••••• T••••••• A•••• M••••••••• I••	n/a	Other adviser	$6.7B	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Cincinnati	Oh	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 30, 2012	$180M	$180M	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	$180M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

showing 80 of 168

Affiliated with (5)

→ L•••••••• T••••••• A•••• M••••••••• I••Registered adviserother investment adviser, common control
factForm ADV
→ I••••••••• A••••••• S••••••• I••Registered adviserother investment adviser, common control
factForm ADV
→ S••••••••• A•••••• A•••••••• I•••Registered adviserother investment adviser, common control
factForm ADV
→ L•••••••• T••••••• F••• M••••••••• L••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4c043960-ede5-1d59-3372-b03f98dbe506
First observed: Dec 2, 2011
Last observed: May 1, 2012 175 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.

Controls (13)

← W•••••••• P••••• J•••••OwnerDIRECTOR, ownership code NA, individual
Dec 2, 2011 to presentfactForm ADV
← B•••••••• P•••••• S••••••••OwnerDIRECTOR, ownership code NA, individual
Dec 2, 2011 to presentfactForm ADV
← H•••••• K•••• J••••OwnerDIRECTOR, ownership code NA, individual
Dec 2, 2011 to presentfactForm ADV
← M••••••• A•••• S••••OwnerDIRECTOR, ownership code NA, individual
Dec 2, 2011 to presentfactForm ADV
← N••••••••• J••••• D•••••OwnerCEO, DIRECTOR, ownership code NA, individual
Dec 2, 2011 to presentfactForm ADV
← P••••••• G••••• E••••••••OwnerVICE PRESIDENT, TREASURER & ACCOUNTING, ownership code NA, individual
Dec 2, 2011 to presentfactForm ADV
← H•••••• J•••• M••••••OwnerSENIOR VP, SALES SUPERVISION AND OPERATIONS, ownership code NA, individual
Dec 2, 2011 to presentfactForm ADV
← G••••••••• J•••••OwnerDIRECTOR, ownership code NA, individual
Dec 2, 2011 to presentfactForm ADV
← M•••••• K••••• J•••••OwnerSENIOR VP, CHIEF COMPLIANCE OFFICER AND GENERAL COUNSEL (AML OFFICER, ITPP OFFICER, PRIVACY OFFICER), CORPORATE SECRETARY, ownership code NA, individual
Dec 2, 2011 to presentfactForm ADV
← K••••••• B••••• H•OwnerDIRECTOR, ownership code NA, individual
Dec 2, 2011 to presentfactForm ADV
← K•••• D•••••• M••••••OwnerSR. VP, BUSINESS DEVELOPMENT, ownership code NA, individual
Dec 2, 2011 to presentfactForm ADV
← L•••••••• T••••••• F•••••••• S•••••••• I•••Owner100% OWNER OF PARENT COMPANY, ownership code E, domestic entity
Dec 2, 2011 to presentfactForm ADV
← S••••••••• A•••••• F•••••••• C•••••••••OwnerHOLDING COMPANY, ownership code E, domestic entity
Dec 2, 2011 to presentfactForm ADV