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CRD 123971
WALNUT CREEK, CA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| B•••• N••••• M•••••••• | Certified Financial Planner | WALNUT CREEK, CA | 12 | 29 | 2 | no |
| R••• K•••• K••••••• | Chartered Financial Analyst | WALNUT CREEK, CA | 11 | 11 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| M••••••••• B••••• N••••• | MANAGING MEMBER/PRINCIPAL | E | yes | 07/2014 | Mar 11, 2015 | Oct 1, 2024 |
| K•••••••• A•••••• P••• | CHIEF COMPLIANCE OFFICER | Na | no | 01/2022 | Mar 23, 2022 | Oct 1, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| Z••••• R••••••• C••••• | n/a | n/a | n/a | N | no | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Petaluma | CA | United States | 1 | no |
| WALNUT CREEK | CA | United States | 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 |
|---|---|---|---|---|---|---|---|---|
| 1 | 0 | 1 | 0.0% | 0 | 0 | 0 | 3 | 0 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $671M | $582M | 15.2% | $271M | 35.3% | 8 | 10 | 2 | 1 |
| no |
| A••••• P••• K••••••• | n/a | WALNUT CREEK, CA | 5 | 12 | 3 | no |
| S•••••• L•• B•••• | Certified Financial Planner|Chartered Financial Analyst | WALNUT CREEK, CA | 2 | 24 | 2 | no |
| D•••• W••• H••••• | Certified Financial Planner | WALNUT CREEK, CA | 1 | 11 | 2 | no |
| S••••• H••••• V••••• | n/a | WALNUT CREEK, CA | 0 | 14 | 2 | no |
| Apr 20, 2026 |
| $671M |
| $669M |
| 8 |
| 6 |
| 1 |
| n/a |
| n/a |
| 2024 | Apr 30, 2025 | $582M | $581M | 10 | 7 | 1 | n/a | n/a |
| 2023 | Mar 22, 2024 | $485M | $483M | 9 | 6 | 2 | n/a | n/a |
| 2022 | Mar 27, 2023 | $271M | $269M | 6 | 4 | 2 | n/a | n/a |
| 2021 | Mar 23, 2022 | $284M | $283M | 7 | 4 | 1 | n/a | n/a |
| 2020 | Mar 25, 2021 | $240M | $239M | 5 | 3 | 2 | n/a | n/a |
| 2019 | Mar 11, 2020 | $206M | $204M | 5 | 3 | 2 | n/a | n/a |
| 2018 | Mar 20, 2019 | $195M | $194M | 5 | 4 | 2 | n/a | n/a |
| 2017 | Mar 22, 2018 | $190M | $189M | 5 | 4 | 2 | n/a | n/a |
| 2016 | Mar 17, 2017 | $177M | $177M | 4 | 4 | n/a | n/a | n/a |
| 2015 | Feb 8, 2016 | $140M | $139M | 4 | 4 | n/a | n/a | n/a |
| 2011 | Jan 23, 2012 | $61.6M | $61.6M | n/a | n/a | n/a | n/a | n/a |