DFX Intelligence

R•••••• A•••• M••••••••• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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

R•••••• A•••• M••••••••• I•••

CRD 147579

MILL VALLEY, CA

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Data as of Mar 20, 2017 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:11 PM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 1
On other graphs: 0
Observed: Mar 20, 2012 to Mar 20, 2017
10 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $138M••• Locked
Discretionary RAUM: $138M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 5
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
A••••• C•• 5• L•••	Securitized Asset Fund	$22.2M	Jun 21, 2019	15	Mar 20, 2012	reported	n/a
A••••• C•• 1•• L•••	Securitized Asset Fund	$20.0M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
H•••••• M•••••• S•••••	BOARD MEMBER, CHAIRMAN AND CHIEF EXECUTIVE OFFICER	Na	yes	07/2008	Mar 20, 2012	Mar 20, 2017
R•••••• T••••• I•••	Shareholder	E	yes	06/2006	Mar 20, 2012	Mar 20, 2017

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
R•••••• C••••••••• M••••••• C•••••••••	n/a	n/a	n/a	N	yes	n/a
R•••••• R••••••••• A••••••••• C•••••••••	n/a	n/a	n/a	N	yes	n/a
R•••••• T••••• I•••

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2016

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2016	$138M	$192M	-28.0%	$242M	-17.0%	5	5	n/a	n/a

Relationships

Advises (9)

→ A••••• C•• 7• L•••Private fundSecuritized Asset Fund, ERA
Mar 20, 2012 to presentfactForm ADV
→ A••••• C•• 9• L•••Private fundSecuritized Asset Fund, ERA
Mar 20, 2012 to presentfactForm ADV
→ A••••• C•• C•• 1• L•••Private fundSecuritized Asset Fund, ERA
Mar 20, 2012 to presentfactForm ADV
→ A••••• C•• 1•• L•••

Dated events

Order

Occurred
13 Apr 2018
Ria registration change
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 20, 2012
Last observed: Mar 20, 2017 115 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.