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H••• C•••••• M••••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered advisermixed wealth managerSEC registeredRAUM 100m 1b

H••• C•••••• M••••••••• L••

CRD 108911

WALNUT CREEK, CA

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Search this name across graphsid dfx:ria:864c43b9-1614-02e2-16f9-2ee9c5f58d55

Data as of Mar 10, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:29 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 4
On other graphs: 0
Observed: Mar 6, 2012 to Mar 10, 2026
32 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: mixed wealth managerderivedprivate_client_share=0.3 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $390M••• Locked
Discretionary RAUM: $131M
Private client RAUM: $118Mderived••• Locked
Private client share: 30%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 5

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
J•••••• P•••• O••••	DIRECTOR OF OPERATIONS & CHIEF COMPLIANCE OFFICER	C	yes	10/2004	Mar 6, 2012	Mar 13, 2024
S••••••••• J•••• D••••	PRESIDENT AND CHIEF INVESTMENT OFFICER	D	yes	10/2004	Mar 6, 2012	Mar 13, 2024

Regulatory AUM by fiscal year

••• Locked

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

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	$390M	$521M	-25.1%	$968M	-26.1%	5	5	0	0

Relationships

Controls (3)

← S••••••••• J•••• D••••OwnerPRESIDENT AND CHIEF INVESTMENT OFFICER, ownership code D, individual
Mar 6, 2012 to Mar 13, 2024factForm ADV
← J•••••• P•••• O••••OwnerDIRECTOR OF OPERATIONS & CHIEF COMPLIANCE OFFICER, ownership code C, individual
Mar 6, 2012 to Mar 13, 2024factForm ADV
← W••••••••• M••••••• A•••••OwnerDIRECTOR OF RESEARCH AND CO-PORTFOLIO MANAGER, ownership code B, individual
Mar 6, 2012 to Mar 13, 2024factForm ADV

Dated events

Occurred
Mar 10, 2026
Regulatory AUM changed
H••• C•••••• M••••••••• L•• reported RAUM $390.0M, down 25% from $521.0M (2025-02-25 to 2026-03-10)
Form ADVobserved 7 days ago
$-131M
Occurred
Feb 25, 2025
Regulatory AUM changed
H••• C•••••• M••••••••• L•• reported RAUM $521.0M, down 35% from $800.0M (2024-03-13 to 2025-02-25)
Form ADVobserved 7 days ago
$-279M
Occurred
Feb 28, 2022
Regulatory AUM changed
H••• C•••••• M••••••••• L•• reported RAUM $1.3B, up 28% from $1.0B (2021-03-11 to 2022-02-28)
Form ADVobserved 7 days ago
$279M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:864c43b9-1614-02e2-16f9-2ee9c5f58d55
First observed: Mar 6, 2012
Last observed: Mar 10, 2026 6 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.