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CRD 108134
SAN FRANCISCO, CA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| CAROL MARSHALL HORACE | n/a | SAUSALITO, CA | 14 | 32 | 1 | no |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| STAFFORD, ROBERT, MERRILL | CEO, CHAIRMAN AND CO CHIEF INVESTMENT OFFICIER | D | yes | 01/2000 | Mar 30, 2012 | Jul 13, 2012 |
| STEPHENS, CRAIG, ARTHUR | PRESIDENT, CO CHIEF INVESTMENT OFFICER | C | yes | 07/2007 | Mar 30, 2012 | Jul 13, 2012 |
| HORACE, CAROL, MARSHALL | CHIEF COMPLIANCE OFFICER | Na | no | 04/2012 | Mar 30, 2012 | Jul 13, 2012 |
| ROBERTSON, NGOC, NGUYEN | VP OPERATIONS | Na | no | 04/2011 | Mar 30, 2012 | Jul 13, 2012 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| PACIFIC MANAGEMENT LTD | n/a | Former SEC adviser | $12.6M | N | yes | n/a |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2011 | Mar 30, 2012 | $50.9M | $50.9M | n/a | n/a | n/a | 1 | $12.6M |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 0 | 0 | 0 | 0.0% | 0 | 0 | 0 | 0 | 0 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2011 | $50.9M | n/a | n/a | n/a | n/a | n/a | n/a | n/a | n/a |