DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

G•• C•••••• M••••••••• L••

CRD 136330

BURLINGAME, CA

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Search this name across graphsid dfx:ria:920cba4f-1928-d25c-4245-a21c442366f4

Data as of Jul 13, 2020 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:51 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 3
On other graphs: 0
Observed: Mar 13, 2012 to Jul 13, 2020
25 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: $68.8M••• Locked
Discretionary RAUM: $65.8M
Private client RAUM: $68.8Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 2

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
W•• D•••••	MANAGING MEMBER, CIO & CHIEF COMPLIANCE OFFICER	E	yes	09/2005	Mar 13, 2012	Jul 13, 2020

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
P••• L•••••• L••	n/a	State registered	$80,836	N	yes	n/a
G••••• I••••••••• S•••••• L••	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2019

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2019	$68.8M	$120M	-42.7%	$143M	-21.7%	2	5	0	0

Relationships

Affiliated with (2)

→ P••• L•••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ P••• C•••••• W••••• M••••••••• L••Registered adviserother investment adviser, common control
factForm ADV

Controls (1)

← W•• D•••••OwnerMANAGING MEMBER, CIO & CHIEF COMPLIANCE OFFICER, ownership code E, individual
Mar 13, 2012 to presentfactForm ADV

Registered with (4)

Dated events

Occurred
Dec 14, 2022
Advisor firm c••••e
••• Locked
Form ADVobserved 8 days ago
Occurred
Aug 17, 2022
Advisor firm c••••e
••• Locked
Form ADVobserved 8 days ago
Occurred
May 14, 2020
Control person left
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:920cba4f-1928-d25c-4245-a21c442366f4
First observed: Mar 13, 2012
Last observed: Jul 13, 2020 75 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.