DFX Intelligence

Data Factory

V••••• W••••• A•••••••• 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 adviserindependent wealth managerSEC registeredRAUM 100m 1b

V••••• W••••• A•••••••• L••

CRD 126742

SAUSALITO, 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:77e3023e-63ad-6aad-4ac4-be15b14ddc66

Data as of Jan 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:00 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Feb 29, 2012 to Jan 15, 2026
22 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: independent wealth managerderivedprivate_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $279M••• Locked
Discretionary RAUM: $278M
Private client RAUM: $279Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $139Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
R••••• E••• O•••••	Certified Financial Planner\|Chartered Financial Analyst	SAUSALITO, CA	22	32	n/a	no
R••• P•••••• B••••••	n/a	SAUSALITO, CA	4	21

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
V••••• A••••••••• P•••••••• L•••	Other Private Fund	$333,543	Mar 22, 2018	15	Jan 28, 2013	dropped	n/a

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
O•••••• R•••••• E•••	PRINCIPAL, CHIEF COMPLIANCE OFFICER	E	yes	01/2003	Feb 29, 2012	Feb 29, 2024
B••••••• R•••• P••••••	Principal	A	no	06/2008	Feb 29, 2012	Feb 29, 2024

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

••• Locked

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

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$279M	$245M	13.8%	$189M	13.7%	2	2	2	2

Relationships

Registered with (2)

← R••• P•••••• B••••••Advisorregistration: current employment
Feb 10, 2022 to presentfactForm ADV
← R••••• E••• O•••••Advisorregistration: current employment
Jan 14, 2004 to presentfactForm ADV

Controls (1)

← O•••••• R•••••• E•••OwnerPRINCIPAL, CHIEF COMPLIANCE OFFICER, ownership code E, individual
Feb 29, 2012 to Feb 29, 2024factForm ADV

Owns (1)

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:77e3023e-63ad-6aad-4ac4-be15b14ddc66
First observed: Feb 29, 2012
Last observed: Jan 15, 2026 8 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.