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CRD 111436
LOS GATOS, 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 |
|---|---|---|---|---|---|---|
| B•••• C•••••• B••••• | Certified Financial Planner | LOS GATOS, CA | 29 | 33 | 1 | yes |
| R•••••• E••• B••• | Certified Financial Planner | LOS GATOS, CA | 29 | 46 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| B•••• R••••••• E••• | CHAIRMAN OF THE BOARD | C | yes | 04/1980 | May 2, 2012 | Apr 16, 2024 |
| B••••• A•••••• M•••••• | Cio | A | yes | 02/2004 | May 2, 2012 | Apr 16, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| R•••• I••••••••• S••••••••• L•• | n/a | No RAUM reported | $0 | N | yes | n/a |
| B••• • B••••• F•••••••• A•• I•••••••• S•••••••• L•• | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| n/a | n/a | n/a | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 0 | 1 | -1 | 33.3% | 0 | 0 | 0 | 1 | 1 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $536M | $608M | -11.9% | $455M | 5.6% | 17 | 18 | 1 | 1 |
| yes |
| A••••• M•••••• B•••• | Chartered Financial Analyst | Fishers, IN | LOS GATOS, CA | 2 | 28 | 1 | yes |
| President |
| C |
| yes |
| 12/1992 |
| May 2, 2012 |
| Apr 16, 2024 |
| L•••••• K••• A•• | Coo | Na | yes | 11/2007 | May 2, 2012 | Apr 16, 2024 |
| E••••••••• L••••• S•••• | CHIEF COMPLIANCE OFFICER | Na | no | 07/2023 | Aug 23, 2023 | Apr 16, 2024 |
| Apr 22, 2026 |
| $536M |
| $536M |
| 17 |
| 3 |
| 1 |
| n/a |
| n/a |
| 2024 | Apr 17, 2025 | $608M | $608M | 18 | 4 | 1 | n/a | n/a |
| 2023 | May 30, 2023 | $424M | $424M | 14 | 4 | 1 | n/a | n/a |
| 2022 | May 26, 2022 | $455M | $455M | 14 | 5 | 1 | n/a | n/a |
| 2021 | May 10, 2021 | $345M | $345M | 14 | 3 | 1 | n/a | n/a |
| 2020 | May 27, 2020 | $318M | $318M | 15 | 8 | 1 | n/a | n/a |
| 2019 | May 20, 2019 | $318M | $318M | 14 | 7 | 0 | n/a | n/a |
| 2018 | May 29, 2018 | $332M | $332M | 13 | 6 | 0 | n/a | n/a |
| 2017 | May 31, 2017 | $206M | $206M | 15 | 6 | n/a | n/a | n/a |
| 2016 | May 6, 2016 | $319M | $319M | 14 | 6 | n/a | n/a | n/a |
| 2015 | May 29, 2015 | $302M | $0 | 14 | 6 | n/a | n/a | n/a |
| 2014 | May 16, 2014 | $2.7B | $0 | 9 | 5 | n/a | n/a | n/a |
| 2013 | May 13, 2013 | $239M | $0 | 7 | 4 | n/a | n/a | n/a |
| 2012 | May 2, 2012 | $212M | $0 | n/a | n/a | n/a | n/a | n/a |