DFX Intelligence

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

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

T•• P•••••• G•••• I••

CRD 105359

ST. HELENA, CALIFORNIA, CA

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Search this name across graphsid dfx:ria:78ab8c8d-3f57-32f9-232d-956cc176f34c

Data as of May 15, 2020 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:37 PM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 0
On other graphs: 0
Observed: Mar 27, 2012 to May 15, 2020
33 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: $47.0M••• Locked
Discretionary RAUM: $47.0M
Private client RAUM: $45.0Mderived••• Locked
Private client share: 96%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 1
RAUM per advisor: $47.0Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
R••••• C•••• F•••••••••	n/a	CALISTOGA, CA	0	47	1	no

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
C•••••• F••• L•	Hedge Fund	$635,000	Sep 11, 2014	3	Mar 27, 2012	dropped	n/a

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
F••••••••• R••••• C••••	Trustee	E	yes	08/1987	Oct 12, 2017	May 15, 2020
F••••••••• R•••••• C••••	DIRECTOR/PRESIDENT/CHIEF INVESTMENT OFFICER/CHIEF COMPLIANCE OFFICER	Na	yes	09/1979	Mar 27, 2012	May 15, 2020

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2019

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
2019	$47.0M	$51.1M	-8.1%	$68.9M	-12.0%	1	4	0	1

Relationships

Registered with (7)

← R••••• C•••• F•••••••••Advisorregistration: previous registration
Jul 8, 1997 to Dec 31, 2019factForm ADV
← D•••• E•••••• F••••Advisorregistration: previous registration
Dec 15, 2005 to Nov 30, 2015factForm ADV
← M••• E••••• N••••••••Advisorregistration: previous registration
Apr 5, 2011 to Aug 6, 2012factForm ADV
← J••••••• M• R•••••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:78ab8c8d-3f57-32f9-232d-956cc176f34c
First observed: Mar 27, 2012
Last observed: May 15, 2020 77 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.