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E•••• C••••••••• G••••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

E•••• C••••••••• G••••

CRD 132757

SANTA ROSA, CA

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Search this name across graphsid dfx:ria:7d2f3e53-30df-53bc-1465-ab9905208345

Data as of Mar 3, 2021 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:13 AM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 1
On other graphs: 1
Observed: Mar 12, 2012 to Mar 3, 2021
16 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Allocatorsidentity

E•••• C••••••••• G••••

Investment consultant · shared crd

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: $790MItem 5.F on the latest filing (2021-03-03); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $0
Private client RAUM: $16.1MderivedItem 5.D individuals plus high net worth individuals
Private client share: 2%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
T•••••• R•••• L•••	PRESIDENT/CHIEF COMPLIANCE OFFICER	D	yes	09/2004	Mar 12, 2012	Mar 3, 2021

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

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

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2020	$790M	$675M	17.1%	$547M	13.1%	2	2	0	0

Relationships

Controls (1)

← T•••••• R•••• L•••OwnerPRESIDENT/CHIEF COMPLIANCE OFFICER, ownership code D, individual
Mar 12, 2012 to presentfactForm ADV

Registered with (1)

← R••• L••• T•••••Advisorregistration: previous registration
Dec 21, 2017 to Oct 27, 2021factForm ADV

Dated events

Occurred
Mar 20, 2018
Regulatory AUM changed
E•••• C••••••••• G•••• reported RAUM $546.6M, up 31% from $416.1M (2017-03-20 to 2018-03-20)
Form ADVobserved 7 days ago
$130M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7d2f3e53-30df-53bc-1465-ab9905208345
First observed: Mar 12, 2012
Last observed: Mar 3, 2021 67 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.