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

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

M••• C•••••• M••••••••• I••

CRD 110075

FRESNO, CA

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Search this name across graphsid dfx:ria:92e4f504-4403-4b94-c2cd-4a6268c86382

Data as of Jun 25, 2012 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:30 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Mar 23, 2012 to Jun 25, 2012
5 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: $62.7MItem 5.F on the latest filing (2012-06-25); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $56.5M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
S••••• M•••••••• P••••••	CHIEF COMPLIANCE OFFICER	D	yes	08/2006	Mar 23, 2012	Jun 25, 2012
S••••••• D•••••• W••••••	President	D	yes	08/2006	Mar 23, 2012

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Mar 23, 2012	$61.3M	$61.3M	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2011	$62.7M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Controls (2)

← S••••••• D•••••• W••••••OwnerPRESIDENT, ownership code D, individual
Mar 23, 2012 to presentfactForm ADV
← S••••• M•••••••• P••••••OwnerCHIEF COMPLIANCE OFFICER, ownership code D, individual
Mar 23, 2012 to presentfactForm ADV

Registered with (1)

← JAMES BRIAN HICKMANAdvisorregistration: previous registration
Jan 8, 2007 to May 6, 2010factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:92e4f504-4403-4b94-c2cd-4a6268c86382
First observed: Mar 23, 2012
Last observed: Jun 25, 2012 173 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.