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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

T••••• W••••• P••••••• L••

CRD 46237

SAN FRANCISCO, CA

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Search this name across graphsid dfx:ria:85ee2842-1b27-ec3b-35b9-b629f801edd4

Data as of Dec 20, 2011 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:27 AM UTC and rebuilt at most every 15 minutes.

Relationships: 43
Dated events: 0
On other graphs: 1
Observed: Dec 20, 2011 to Dec 20, 2011
1 observations

Across DFX

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

Private Equityidentity

T••••• W••••• P••••••• L••

Intermediary · 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: $1.9B••• Locked
Discretionary RAUM: $543M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 1,304
SEC number

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
S•••••• P••• C••••••••	Ceo	Na	yes	06/2008	Dec 20, 2011	Dec 20, 2011
S••••••• S••••• S••••••	Cfo	Na	yes	04/2008	Dec 20, 2011	Dec 20, 2011

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S•••••• N••••••• • C••••••• I•••••••••	n/a	National bd RIA	$198B	N	yes	Mo
C•••••• S••••••••• A••••••••• I•••	n/a	Bd affiliated wealth	$5.0B	N	yes	n/a

Relationships

Affiliated with (9)

→ M••••••• V••••• P•••••••• I•••Registered adviser
factForm ADV
→ T••••• W••••• C•••••• M••••••••• L••Registered adviser
factForm ADV
→ T••••• W••••• A•••• M••••••••• L••Registered adviser
factForm ADV
→ T••••• W••••• G••••• G••••• P••••••• L••Registered adviser
factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:85ee2842-1b27-ec3b-35b9-b629f801edd4
First observed: Dec 20, 2011
Last observed: Dec 20, 2011 179 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.

Registered with (27)

← D•••• G•••• D•••Advisorregistration: previous registration
Jan 3, 2011 to Mar 28, 2012factForm ADV
← P••• C•••••••• S•••••Advisorregistration: previous registration
Feb 21, 2012 to Mar 28, 2012factForm ADV
← JOHN MICHAEL DIERKINGAdvisorregistration: previous registration
Jan 15, 2000 to Mar 1, 2012factForm ADV
← JEFFREY JOHN BERGHOLTAdvisorregistration: previous registration
Dec 15, 2004 to Mar 1, 2012factForm ADV
← JANET MARGARET BARNESAdvisorregistration: previous registration
Jul 29, 2010 to Mar 1, 2012factForm ADV
← John ChangAdvisorregistration: previous registration
Jun 4, 2007 to Mar 1, 2012factForm ADV
← DANIEL LOREN HOLLIGANAdvisorregistration: previous registration
Nov 23, 2005 to Mar 1, 2012factForm ADV
← P••• BENJAMIN CLARKAdvisorregistration: previous registration
May 14, 2009 to Mar 1, 2012factForm ADV
← RICHARD KEITH MARRONEAdvisorregistration: previous registration
Mar 22, 2011 to Mar 1, 2012factForm ADV
← John Holmes ShawAdvisorregistration: previous registration
Jan 5, 2000 to Jan 27, 2011factForm ADV
← PETER KENNETH KONGAdvisorregistration: previous registration
Dec 14, 2006 to Jan 27, 2011factForm ADV
← Alexandra RuebAdvisorregistration: previous registration
Sep 7, 2004 to Jan 27, 2011factForm ADV
← MELVIN DON FISHERAdvisorregistration: previous registration
Mar 5, 2007 to Aug 23, 2010factForm ADV
← JEREMY D•••• WENNERAdvisorregistration: previous registration
Mar 5, 2007 to Aug 23, 2010factForm ADV
← BRUCE SP•••DING EDWARDSAdvisorregistration: previous registration
Dec 14, 2006 to Aug 20, 2010factForm ADV
← ANTHONY VICTOR STAISAdvisorregistration: previous registration
Jul 6, 2010 to Jul 16, 2010factForm ADV
← Andrew S GibsonAdvisorregistration: previous registration
May 8, 2007 to Jul 16, 2010factForm ADV
← Susan Elizabeth SchiedingAdvisorregistration: previous registration
Jun 26, 2006 to Jul 30, 2009factForm ADV
← John David SmithAdvisorregistration: previous registration
Oct 23, 2007 to Jul 23, 2009factForm ADV
← John Joseph DonarumaAdvisorregistration: previous registration
Aug 25, 2005 to Jul 23, 2009factForm ADV
← Michael Charles HulettAdvisorregistration: previous registration
Mar 27, 2006 to Jul 23, 2009factForm ADV
← MATTHEW SAM RICHAdvisorregistration: previous registration
Apr 2, 2004 to Jul 13, 2009factForm ADV
← LIZABETH MOSESAdvisorregistration: previous registration
May 7, 2007 to Jul 13, 2009factForm ADV
← WALTER LEWIS CRANFORDAdvisorregistration: previous registration
Mar 17, 2005 to Feb 23, 2009factForm ADV
← JANINE M MORAHANAdvisorregistration: previous registration
Sep 2, 2005 to Jun 6, 2008factForm ADV
← MICHAEL EDWARD MULLINAdvisorregistration: previous registration
Oct 19, 2005 to May 7, 2007factForm ADV
← CHRISTOPHER JAMES CLIFFORDAdvisorregistration: previous registration
Feb 1, 2000 to Nov 13, 2006factForm ADV