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CRD 305565
SAN MATEO, CA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| JOHN BRENTON DODD | n/a | SAN MATEO, CA | 6 | 14 | 2 | no |
| MITCHELL LAWRENCE SANDS | n/a | SAN MATEO, CA | WALNUT CREEK, CA | 6 | 13 | 2 | yes |
| BRYAN DAVID WILSON | n/a | SAN MATEO, CA | 6 | 12 | 2 | yes |
| Tamaki Kern Faneuff | Certified Financial Planner | SAN MATEO, CA | SAN FRANCISCO, CA | 3 | 10 | 2 | no |
| BRENDAN DIARMUID CONNAUGHTON | n/a | SAN MATEO, CA | 2 | 38 | 7 | no |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| CONNAUGHTON, BRENDAN, DIARMUID | CHIEF EXECUTIVE OFFICER | C | yes | 10/2019 | Aug 23, 2019 | Sep 3, 2024 |
| DODD, JOHN, BRENTON | CHIEF INVESTMENT OFFICER | B | yes | 10/2019 | Aug 23, 2019 | Sep 3, 2024 |
| ELDRIDGE, MICHELLE, LEA | CHIEF COMPLIANCE OFFICER | Na | yes | 07/2023 | Nov 14, 2023 | Sep 3, 2024 |
| SANDS, MITCHELL, LAWRENCE | Advisor | B | yes | 10/2019 | Aug 23, 2019 | Sep 3, 2024 |
| WILSON, BRYAN, DAVID | Advisor | B | yes | 10/2019 | Aug 23, 2019 | Sep 3, 2024 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| SAN FRANCISCO | CA | United States | 1 | no |
| WALNUT CREEK | CA | United States | 1 | yes |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 27, 2026 | $370M | $360M | 5 | 5 | 2 | n/a | n/a |
| 2024 | Mar 31, 2025 | $331M | $330M | 5 | 5 | 2 | n/a | n/a |
| 2023 | Mar 26, 2024 | $307M | $307M | 6 | 5 | 0 | n/a | n/a |
| 2022 | Mar 29, 2023 | $195M | $195M | 6 | 5 | 0 | n/a | n/a |
| 2021 | Mar 18, 2022 | $325M | $205M | 5 | 4 | 0 | n/a | n/a |
| 2020 | Mar 3, 2021 | $184M | $160M | 6 | 5 | 0 | n/a | n/a |
| 2019 | Jan 17, 2020 | $130M | $130M | 6 | 5 | 0 | 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 | $370M | $331M | 12.1% | $195M | 23.9% | 5 | 5 | 2 | 2 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| MUTUAL ADVISORS, LLC | 5 | Sep 30, 2019 | Nov 14, 2023 | SAN FRANCISCO, CA | Team lift out | Ibd to new firm | 5.8% |