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Reading the graph
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CRD 122418
SAN RAMON, CA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| A••••••• L•• | Member | C | yes | 09/1997 | Feb 26, 2013 | Aug 5, 2022 |
| M•••••• J•••••• R• | MANAGING PARTNER & CHIEF COMPLIANCE OFFICER | D | yes | 03/2021 | Mar 11, 2015 | Aug 5, 2022 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| B•• S•• A•••• M••••••••• L•• | n/a | Former SEC adviser | $139M | N | yes | n/a |
| A••••••• L•• | n/a | n/a | n/a | Y | yes | n/a |
| I•••••••• C•••••• I•••••••• S•••••••• L•• |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2021 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2021 | $1.3B | $1.2B | 8.9% | $668M | 24.0% | 4 | 10 | 0 | 1 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| M•• C•••••• M••••••••• L•• | 4 | Aug 5, 2022 | Jan 9, 2025 | SAN RAMON, CA | Firm absorbed | RIA to RIA | 57.1% |
| B••••••• W••••• A•••••••• L•• | 2 | Dec 16, 2021 | Nov 12, 2021 |
| GENERAL/MANAGING PARTNER |
| F |
| no |
| 01/2019 |
| Sep 17, 2014 |
| Aug 5, 2022 |
| n/a |
| n/a |
| n/a |
| N |
| yes |
| n/a |
| I•••••••• V••••••• L•• | n/a | n/a | n/a | N | yes | n/a |
| $1.3B |
| $1.2B |
| 10 |
| 7 |
| 1 |
| n/a |
| n/a |
| 2020 | Mar 25, 2021 | $1.2B | $1.1B | 10 | 7 | 1 | n/a | n/a |
| 2019 | Feb 27, 2020 | $974M | $884M | 10 | 7 | 1 | n/a | n/a |
| 2018 | Mar 18, 2019 | $668M | $637M | 10 | 7 | 1 | n/a | n/a |
| 2017 | Mar 14, 2018 | $611M | $594M | 9 | 7 | 1 | n/a | n/a |
| 2016 | Mar 24, 2017 | $393M | $379M | 9 | 7 | n/a | n/a | n/a |
| 2015 | Mar 2, 2016 | $309M | $287M | 7 | 6 | n/a | n/a | n/a |
| 2014 | Mar 11, 2015 | $269M | $255M | 5 | 5 | n/a | n/a | n/a |
| 2013 | Feb 10, 2014 | $208M | $195M | 3 | 3 | n/a | n/a | n/a |
| 2012 | Feb 26, 2013 | $200M | $188M | 3 | 3 | n/a | n/a | n/a |
| 2011 | Feb 24, 2012 | $182M | $163M | n/a | n/a | n/a | n/a | n/a |
| SAN RAMON, CA |
| Team lift out |
| RIA to new firm |
| 22.2% |