DFX Intelligence

P••••• S••••• F•••••••• G••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

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

P••••• S••••• F•••••••• G••••• L••

CRD 149750

ROSEVILLE, 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 graphs

Data as of Jul 15, 2016 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 4:08 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Feb 3, 2012 to Jul 15, 2016
13 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: $84.7M••• Locked
Discretionary RAUM: $84.3M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 3
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
T•••••• S••••• C••••••	MANAGING MEMBER/CHIEF INVESTMENT OFFICER	D	yes	04/2009	Feb 3, 2012	Jul 15, 2016
W••••••••• R•••••• C••••	MANAGING MEMBER/CHIEF COMPLIANCE OFFICER	D	yes	01/2011	Feb 19, 2013	Jul 15, 2016

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
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	$84.7M	$134M	-36.7%	$111M	-8.7%	3	5	n/a	n/a

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
G••••••• B•••••• • B••••••• W••••• A•• R••••••••• P••• M•••• L••	2	Oct 9, 2017	Dec 22, 2017	ROSEVILLE, CA	Team lift out	Other	100.0%

Relationships

Controls (2)

← W••••••••• R•••••• C••••OwnerMANAGING MEMBER/CHIEF COMPLIANCE OFFICER, ownership code D, individual
Feb 19, 2013 to presentfactForm ADV
← T•••••• S••••• C••••••OwnerMANAGING MEMBER/CHIEF INVESTMENT OFFICER, ownership code D, individual
Feb 3, 2012 to presentfactForm ADV

Moved with (1)

→ G••••••• B•••••• • B••••••• W••••• A•• R••••••••• P••• M•••• L••Registered adviser2 advisors, team lift out, same day
Oct 9, 2017 to Dec 22, 2017factForm ADV

Registered with (3)

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Feb 3, 2012
Last observed: Jul 15, 2016 124 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.