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P•••••• E•••• W••••• A•••••••• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

P•••••• E•••• W••••• A•••••••• I•••

CRD 172356

WALNUT CREEK, CA

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Search this name across graphsid dfx:ria:79cf4396-d98b-7a05-9d75-69555d010e0d

Data as of Aug 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:50 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Jun 20, 2025 to Aug 31, 2026
5 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=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $111M••• Locked
Discretionary RAUM: $111M
Private client RAUM: $109Mderived••• Locked
Private client share: 98%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $36.9Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
C•••••• R••••• L••••	n/a	WALNUT CREEK, CA \| Newark, CA	5	21	2	no
N••••• J••• S•••••••	n/a	Walnut Creek, CA	1	14

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Jan 22, 2026	$111M	$111M	3	1	0	n/a	n/a

Advisor flows

••• Locked

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%	1	0	0	2	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	$111M	n/a	n/a	n/a	n/a	5	n/a	1	n/a

Relationships

Registered with (3)

← C•••••• R••••• L••••Advisorregistration: current employment
Aug 27, 2026 to presentfactForm ADV
← M•••••• S•••••••• B•••••Advisorregistration: current employment
Aug 27, 2026 to presentfactForm ADV
← N••••• J••• S•••••••Advisorregistration: current employment
Jul 21, 2025 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:79cf4396-d98b-7a05-9d75-69555d010e0d
First observed: Jun 20, 2025
Last observed: Aug 31, 2026 22 days 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.