DFX Intelligence

S•••••• V••••• R••••••••• S•••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

S•••••• V••••• R••••••••• S•••••••• L••

CRD 154756

SAN JOSE, CA

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Search this name across graphsid dfx:ria:a7b42b24-62b5-7175-6093-0cc6c1db5fb0

Data as of Feb 9, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:54 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 4
On other graphs: 0
Observed: Jan 13, 2012 to Feb 9, 2026
16 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: independent wealth managerderivedprivate_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $1.4B••• Locked
Discretionary RAUM: $0
Private client RAUM: $1.4Bderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $701Mderived

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••• T••••••• A••••	MANAGING MEMBER, CHIEF COMPLIANCE OFFICER	D	yes	07/2010	Feb 9, 2026	Feb 9, 2026
K••••••• S••••• A••••••	MANAGING MEMBER	D	yes	07/2010	Feb 9, 2026	Feb 9, 2026

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

••• Locked

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

Advisor flows

••• Locked

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	0	0

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$1.4B	$1.1B	23.3%	$698M	26.1%	2	2	1	1

Relationships

Registered with (2)

← T•••••• A•••• C•••Advisorregistration: current employment
Oct 6, 2010 to presentfactForm ADV
← S•••• A•••••• K••••••Advisorregistration: current employment
Oct 6, 2010 to presentfactForm ADV

Controls (2)

← C•••• T••••••• A••••OwnerMANAGING MEMBER, CHIEF COMPLIANCE OFFICER, ownership code D, individual
Jan 13, 2012 to Feb 11, 2024factForm ADV
← K••••••• S••••• A••••••

Dated events

Occurred
Feb 11, 2024
Regulatory AUM changed
S•••••• V••••• R••••••••• S•••••••• L•• reported RAUM $944.3M, up 35% from $698.3M (2023-02-12 to 2024-02-11)
Form ADVobserved 7 days ago
$246M
Occurred
Feb 12, 2023
Regulatory AUM changed
S•••••• V••••• R••••••••• S•••••••• L•• reported RAUM $698.3M, down 33% from $1.0B (2022-02-09 to 2023-02-12)
Form ADVobserved 7 days ago
$-349M
Occurred
Feb 7, 2020
Regulatory AUM changed
S•••••• V••••• R••••••••• S•••••••• L•• reported RAUM $754.1M, up 29% from $582.4M (2019-02-13 to 2020-02-07)
Form ADVobserved 7 days ago
$172M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a7b42b24-62b5-7175-6093-0cc6c1db5fb0
First observed: Jan 13, 2012
Last observed: Feb 9, 2026 7 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.