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CRD 159244
CAMPBELL, 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.
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| J•••••••• D••••• L••••• | Trustee | E | yes | 09/2011 | Jan 18, 2012 | Mar 3, 2022 |
| T•• J••••••• F••••• T•••• | Owner | E | yes | 09/2011 | Feb 13, 2020 | Mar 3, 2022 |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2021 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2021 | $484M | $390M | 24.1% | $265M | 22.3% | 5 | 5 | 0 | 0 |
| CHIEF COMPLIANCE OFFICER |
| B |
| yes |
| 01/2015 |
| Feb 10, 2015 |
| Mar 3, 2022 |
| $484M |
| $484M |
| 5 |
| 1 |
| 0 |
| n/a |
| n/a |
| 2020 | Feb 24, 2021 | $390M | $390M | 5 | 1 | 0 | n/a | n/a |
| 2019 | Feb 13, 2020 | $343M | $343M | 7 | 2 | 0 | n/a | n/a |
| 2018 | Mar 14, 2019 | $265M | $265M | 8 | 3 | 0 | n/a | n/a |
| 2017 | Jan 31, 2018 | $261M | $261M | 7 | 3 | 0 | n/a | n/a |
| 2016 | Mar 17, 2017 | $196M | $196M | 8 | 4 | n/a | n/a | n/a |
| 2015 | Feb 12, 2016 | $168M | $168M | 7 | 7 | n/a | n/a | n/a |
| 2014 | Feb 10, 2015 | $134M | $134M | 7 | 7 | n/a | n/a | n/a |