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CRD 287487
SAN MATEO, 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 |
|---|---|---|---|---|---|---|
| S•••••• M••• B••••••• | n/a | SAN MATEO, CA | Atherton, CA | 9 | 41 | 1 | no |
| A•••• M•••••• B••••••• | Certified Financial Planner | Mill Valley, CA | SAN MATEO, CA | 9 | 18 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| B••••••• W••••• H•••••• I•• | Member | D | yes | 05/2017 | Aug 18, 2026 | Aug 18, 2026 |
| B••••••• W••••• I••••••••• I••• | Member | C | yes | 05/2017 | Aug 18, 2026 | Aug 18, 2026 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| B••••••• • C••••••• C•• I••• | n/a | n/a | n/a | N | yes | n/a |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 1 | 0 | 1 | 0.0% | 0 | 0 | 0 | 2 | 0 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $950M | $824M | 15.3% | $621M | 15.2% | 7 | 7 | 5 | 0 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| L•• F•••••••• L•• | 3 | Jun 13, 2017 | Jul 18, 2017 | SAN FRANCISCO, CA | Team lift out | Other | 0.0% |
| no |
| N••••• G••••• B••••••• | n/a | San Francisco, CA | SAN MATEO, CA | 9 | 13 | 1 | no |
| T•••••• M••••••• S•••••• | n/a | Elk Grove, CA | SAN MATEO, CA | 2 | 10 | n/a | no |
| E•• C• M••••• | Certified Financial Planner | SAN MATEO, CA | San Carlos, CA | 1 | 11 | 1 | no |
| C•••••• N••••• Y•• | n/a | South San Francisco, CA | SAN MATEO, CA | 0 | 10 | 1 | no |
| CHIEF COMPLIANCE OFFICER |
| Na |
| yes |
| 06/2017 |
| Aug 18, 2026 |
| Aug 18, 2026 |
| B•••••••• A••••• M•••••• | Shareholder | D | yes | 06/2017 | Apr 13, 2017 | Sep 6, 2024 |
| B•••••••• N•••••• G••••• | Shareholder | D | yes | 06/2017 | Apr 13, 2017 | Sep 6, 2024 |
| B•••••••• S••••••• M••• | President | E | yes | 06/2017 | Apr 13, 2017 | Sep 6, 2024 |
| $950M |
| $950M |
| 7 |
| 5 |
| 5 |
| n/a |
| n/a |
| 2024 | Mar 7, 2025 | $824M | $824M | 7 | 4 | 0 | n/a | n/a |
| 2023 | Mar 7, 2024 | $720M | $720M | 6 | 4 | 0 | n/a | n/a |
| 2022 | Mar 22, 2023 | $621M | $621M | 6 | 3 | 0 | n/a | n/a |
| 2021 | Mar 4, 2022 | $725M | $725M | 6 | 3 | 0 | n/a | n/a |
| 2020 | Mar 17, 2021 | $601M | $601M | 5 | 3 | 0 | n/a | n/a |
| 2019 | Feb 20, 2020 | $459M | $459M | 5 | 3 | 0 | n/a | n/a |
| 2018 | Mar 8, 2019 | $374M | $374M | 3 | 3 | 0 | n/a | n/a |
| 2017 | Jan 19, 2018 | $385M | $385M | 5 | 3 | 1 | n/a | n/a |