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CRD 124147
PALO ALTO, CA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| A••• J•• G•••••• | Certified Financial Planner | PALO ALTO, CA | 2 | 24 | 3 | no |
| B•••• M•••••• K•••••••• | n/a | SAN FRANCISCO, CA | 1 | 35 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| F••••• R••••••• • C•• L•• | Member | E | yes | 10/2001 | Mar 28, 2026 | Mar 28, 2026 |
| R••••••••• M••••••• J••• | ADMINISTRATIVE OVERSIGHT MANAGEROF F••••• R••••••• A••••••• L•• | Na | yes | 03/2026 | Mar 28, 2026 | Mar 28, 2026 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| F••••• R••••••• • C•• L•• | n/a | n/a | n/a | Y | no | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| SAN FRANCISCO | CA | United States | 1 | no |
| n/a | n/a | n/a | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 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 | 1 | 0 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $3.4B | $3.0B | 12.6% | $1.7B | 25.9% | 5 | 5 | 3 | 3 |
| no |
| P•••••• J••••• S••••••• | Chartered Financial Analyst | PALO ALTO, CA | 0 | 23 | n/a | no |
| ADMINISTRATIVE OVERSIGHT MANAGER OF F••••• R••••••• A••••••• L•• |
| Na |
| yes |
| 01/2015 |
| Mar 27, 2015 |
| Sep 6, 2024 |
| B••••• D•••••• D•••••• | CHIEF COMPLIANCE OFFICER | Na | no | 08/2024 | Mar 28, 2026 | Mar 28, 2026 |
| Mar 28, 2026 |
| $3.4B |
| $2.5B |
| 5 |
| 3 |
| 3 |
| n/a |
| n/a |
| 2024 | Mar 26, 2025 | $3.0B | $2.2B | 5 | 3 | 3 | n/a | n/a |
| 2023 | Mar 29, 2024 | $2.0B | $1.6B | 5 | 3 | 3 | n/a | n/a |
| 2022 | Mar 29, 2023 | $1.7B | $1.4B | 4 | 2 | 2 | n/a | n/a |
| 2021 | Mar 31, 2022 | $1.4B | $1.2B | 4 | 2 | 2 | n/a | n/a |
| 2020 | Mar 30, 2021 | $1.5B | $1.3B | 4 | 2 | 2 | n/a | n/a |
| 2019 | Mar 27, 2020 | $1.4B | $1.2B | 4 | 2 | 2 | n/a | n/a |
| 2018 | Mar 27, 2019 | $878M | $798M | 3 | 2 | 3 | n/a | n/a |
| 2017 | Mar 29, 2018 | $809M | $720M | 3 | 2 | 3 | n/a | n/a |
| 2016 | Mar 22, 2017 | $641M | $566M | 3 | 2 | n/a | n/a | n/a |
| 2015 | Mar 25, 2016 | $570M | $501M | 4 | 2 | n/a | n/a | n/a |
| 2014 | Mar 27, 2015 | $519M | $447M | 4 | 2 | n/a | n/a | n/a |
| 2013 | Mar 21, 2014 | $505M | $434M | 4 | 2 | n/a | n/a | n/a |
| 2012 | Aug 28, 2012 | $321M | $268M | n/a | n/a | n/a | n/a | n/a |