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CRD 111819
FREMONT, 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 |
|---|---|---|---|---|---|---|
| WA NHUT HUONG | Certified Financial Planner|Chartered Financial Consultant | Fremont, CA | 19 | 27 | 1 | no |
| SYLVIA CHIN | Certified Financial Planner | Fremont, CA | 17 | 22 | 1 | no |
| MATTHEW JAMES SHIBATA | Chartered Financial Analyst | Fremont, CA | 17 | 19 | 1 | no |
| GARY LAWRENCE CHENG | n/a | FREMONT, CA | Atlanta, GA | 12 | 13 | n/a | no |
| VICTOR JAY HUANG | n/a | FREMONT, CA | 10 | 11 | n/a | no |
| Savannah Sue Warren | n/a | FREMONT, CA | Milton, WI | 6 | 11 | n/a | no |
| William Weibin Li | n/a | FREMONT, CA | 5 | 23 | n/a | no |
| Michael Kenji King | n/a | FREMONT, CA | 4 | 19 | n/a | no |
| Jawad Ehsanyar | n/a | FREMONT, CA | 3 | 12 | n/a | no |
| BENJAMIN ALBERT FEINER | n/a | FREMONT, CA | 2 | 11 | n/a | no |
| ANNA RAMSEY NORMAN | n/a | Franklin, TN | FREMONT, CA | 1 | 15 | 1 | no |
| NICOLAS PAUL, RENAUD VIEVILLE | n/a | FREMONT, CA | 1 | 10 | n/a | no |
| Jack David McHargue | n/a | FREMONT, CA | 0 | 11 | n/a | no |
| PETER WING CHING LING | n/a | MILL VALLEY, CA | FREMONT, CA | 0 | 40 | n/a | no |
| JOSHUA MICHAEL GATTI | n/a | FREMONT, CA | 0 | 11 | n/a | no |
| KEVIN RAY REDILA | n/a | FREMONT, CA | 0 | 10 | n/a | no |
| Veniamin Barinov | n/a | FREMONT, CA | 0 | 19 | n/a | no |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| HUONG, WA, NHUT | MANAGING MEMBER | C | yes | 01/2007 | Mar 24, 2026 | Mar 24, 2026 |
| LING, PETER, WING CHING | MANAGING MEMBER | C | yes | 12/1999 | Mar 24, 2026 | Mar 24, 2026 |
| SHIBATA, MATTHEW, JAMES | MANAGING MEMBER, CHIEF COMPLIANCE OFFICER | C | yes | 04/2016 | Mar 24, 2026 | Mar 24, 2026 |
| HUANG, VICTOR, JAY | Partner | A | no | 09/2024 | Mar 24, 2026 | Mar 24, 2026 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| MAGNOLIA TREE INVESTMENTS INC. | n/a | n/a | n/a | N | yes | n/a |
| MORLING & COMPANY | n/a | n/a | n/a | N | yes | n/a |
| WA HUONG | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| n/a | n/a | n/a | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 24, 2026 | $1.0B | $961M | 21 | 17 | 3 | n/a | n/a |
| 2024 | Mar 19, 2025 | $756M | $756M | 19 | 15 | 3 | n/a | n/a |
| 2023 | Mar 27, 2024 | $607M | $607M | 17 | 12 | 2 | n/a | n/a |
| 2022 | Mar 24, 2023 | $486M | $486M | 16 | 11 | 1 | n/a | n/a |
| 2021 | Mar 11, 2022 | $501M | $501M | 12 | 10 | 0 | n/a | n/a |
| 2020 | Mar 8, 2021 | $360M | $360M | 9 | 9 | 1 | n/a | n/a |
| 2019 | Mar 12, 2020 | $273M | $273M | 9 | 9 | 1 | n/a | n/a |
| 2018 | Mar 26, 2019 | $213M | $213M | 8 | 8 | 1 | n/a | n/a |
| 2017 | Mar 6, 2018 | $200M | $200M | 7 | 7 | 0 | n/a | n/a |
| 2016 | Mar 30, 2017 | $164M | $164M | 7 | 7 | n/a | n/a | n/a |
| 2015 | Mar 29, 2016 | $133M | $133M | 7 | 7 | n/a | n/a | n/a |
| 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 | $1.0B | $756M | 38.6% | $486M | 29.2% | 21 | 19 | 3 | 3 |