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

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RIA / WealthRegistered adviserformer SEC adviserNot on rosterRAUM 10b 100b

P•••••••• I•••••••••

CRD 149193

SAN FRANCISCO, CA

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Data as of Mar 23, 2021 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:51 PM UTC and rebuilt at most every 15 minutes.

Relationships: 15
Dated events: 1
On other graphs: 0
Observed: Mar 9, 2012 to Mar 23, 2021
24 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: $38B••• Locked
Discretionary RAUM: $38B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 53
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••••• T•••• C•••••••••	VICE PRESIDENT, CIO, DIRECTOR AND OWNER	B	yes	08/2000	Mar 9, 2012	Mar 23, 2021
A••••• B•••••••• E•••••	PRESIDENT, CEO AND DIRECTOR	Na	yes	12/2008	Mar 9, 2012	Mar 23, 2021

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2020

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2020	$38B	$31B	23.1%	$27B	12.6%	53	53	0	0

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
P•••••••• I••••••••• L••	6	Dec 14, 2021	Dec 10, 2021	SAN FRANCISCO, CA	Firm absorbed	Other	100.0%

Relationships

Controls (6)

← D•••••• J•••••• L••OwnerDIRECTOR AND OWNER, ownership code D, individual
Mar 9, 2012 to presentfactForm ADV
← D•••••• T•••• N•••••OwnerDIRECTOR, ownership code NA, individual
Mar 9, 2012 to presentfactForm ADV
← S•••••••• J•••• V••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 9, 2012 to presentfactForm ADV
← A••••••• T•••• C•••••••••OwnerVICE PRESIDENT, CIO, DIRECTOR AND OWNER, ownership code B, individual
Mar 9, 2012 to presentfact

Dated events

Occurred
Mar 17, 2020
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$7.3B

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 9, 2012
Last observed: Mar 23, 2021 67 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.