DFX Intelligence

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

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

P•••••••• I•••••••• O• A••••••

CRD 6082

SAN FRANCISCO, CA

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Search this name across graphsid dfx:ria:58310861-3064-141d-9626-2e9dd053df06

Data as of Jan 11, 2016 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:26 AM UTC and rebuilt at most every 15 minutes.

Relationships: 51
Dated events: 0
On other graphs: 0
Observed: Mar 12, 2012 to Jan 11, 2016
20 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: $608M••• Locked
Discretionary RAUM: $303M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 68
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••••••• J••• T•••••	Chairman	A	yes	09/2011	Mar 12, 2012	Jan 11, 2016
D•••••••• S•••• B•••••	PRESIDENT / CEO / FINOP	Na	yes	01/2015	Mar 12, 2012	Jan 11, 2016

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Alamo	CA	United States	n/a	no
Berkeley	CA	United States	n/a	no
Danville	CA	United States	n/a	no
EL DORADO HILLS	CA	United States	n/a	no
Fremont	CA	United States

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Sep 30, 2015

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2015	$608M	$493M	23.3%	$374M	17.6%	68	72	n/a	n/a

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
T••••••••• W••••• M••••••••• L••	2	Jul 28, 2016	Jun 13, 2016	EL CERRITO, CA	Team lift out	Other	50.0%
C•••••••• I••••••••• R••••••• A•••••••• I•••	14	Jul 22, 2016

Relationships

Controls (4)

← A•••••••• J••• T•••••OwnerCHAIRMAN, ownership code A, individual
Mar 12, 2012 to presentfactForm ADV
← K•••• D•••• H•••••OwnerDIRECTOR/TREASURER, ownership code NA, individual
Sep 26, 2012 to presentfactForm ADV
← N•••••••• S••••• S••••••OwnerDIRECTOR/SECRETARY, ownership code NA, individual
Sep 26, 2012 to presentfactForm ADV
← D•••••••• S•••• B•••••OwnerPRESIDENT / CEO / FINOP, ownership code NA, individual
Mar 12, 2012 to presentfact

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:58310861-3064-141d-9626-2e9dd053df06
First observed: Mar 12, 2012
Last observed: Jan 11, 2016 130 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.