DFX Intelligence

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

PLEASANTON FINANCIAL ADVISORS

PLEASANTON FINANCIAL ADVISORS, LLC, CRD 132160

PLEASANTON, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:5e6aae97-9beb-350e-5407-3bbf714875e3

Data as of May 23, 2012 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:40 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2012 to May 23, 2012
3 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: $79.6MItem 5.F on the latest filing (2012-05-23); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $79.6M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 285
SEC number: 801-66966
CRD: 132160
Filings on the tape: 3
First filed: Mar 30, 2012
Latest filed: May 23, 2012
Organised: Limited Liability Company, California

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
SMITH, GARY, RICHARD	MEMBER OF LLC	C	yes	01/2004	Mar 30, 2012	May 23, 2012
SMITH, MARGARET, FLUCK	MEMBER OF LLC	C	yes	01/2004	Mar 30, 2012	May 23, 2012
JANER, MARK, ALAN	CHIEF COMPLIANCE OFFICER	A	no	06/2006	Mar 30, 2012	May 23, 2012

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Mar 30, 2012	$79.6M	$79.6M	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2011	$79.6M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Owns (1)

← JANER, MARK, ALANOwnerCHIEF COMPLIANCE OFFICER, ownership code A, individual
Mar 30, 2012 to presentfactForm ADV

Controls (2)

← SMITH, GARY, RICHARDOwnerMEMBER OF LLC, ownership code C, individual
Mar 30, 2012 to presentfactForm ADV
← SMITH, MARGARET, FLUCKOwnerMEMBER OF LLC, ownership code C, individual
Mar 30, 2012 to presentfactForm ADV

Registered with (3)

← BRONWYN SHONEAdvisorregistration: previous registration
May 27, 2005 to Nov 27, 2013factForm ADV
← Richard GrossAdvisorregistration: previous registration
Aug 2, 2007 to Nov 27, 2013factForm ADV
← MADELINE VALENTEAdvisorregistration: previous registration
Apr 2, 2008 to Nov 27, 2013factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5e6aae97-9beb-350e-5407-3bbf714875e3
First observed: Mar 30, 2012
Last observed: May 23, 2012 174 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.

PLEASANTON FINANCIAL ADVISORS

PLEASANTON FINANCIAL ADVISORS, LLC, CRD 132160

PLEASANTON, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:5e6aae97-9beb-350e-5407-3bbf714875e3

Data as of May 23, 2012 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:40 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

SMITH, GARY, RICHARD

MEMBER OF LLC

yes

01/2004

Mar 30, 2012

May 23, 2012

SMITH, MARGARET, FLUCK

MEMBER OF LLC

yes

01/2004

Mar 30, 2012

May 23, 2012

JANER, MARK, ALAN

CHIEF COMPLIANCE OFFICER

06/2006

Mar 30, 2012

May 23, 2012

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2011

Mar 30, 2012

$79.6M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2011

$79.6M

n/a