DFX Intelligence

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

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RIA / WealthRegistered advisermixed wealth managerSEC registeredRAUM 100m 1b

S•••• P•••• C•••••• M••••••••• L••

CRD 297766

PALO ALTO, CA

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Search this name across graphsid dfx:ria:ad34a89f-60d1-6ef5-a888-415ed8021f85

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:31 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 1
Observed: Mar 30, 2026 to Mar 30, 2026
1 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Allocatorsidentity

S•••• P•••• C•••••• M••••••••• L••

Manager with allocator capital · key crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: mixed wealth managerderivedprivate_client_share=0.3 fund_share=0.7 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $119M••• Locked
Discretionary RAUM: $119M
Private client RAUM: $35.4Mderived••• Locked
Private client share: 30%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $59.7Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
R•••• P•••••• S•••	n/a	PALO ALTO, CA	3	11	n/a	no
C••••• J•••• R•••	Chartered Financial Analyst	PALO ALTO, CA	0	11

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
S•••• P•••• A•••• C•••••• L•	Hedge Fund	$71.5M	Mar 30, 2026	54	Mar 21, 2022	reported	021-399008
S•••• O••••••• L•••	Hedge Fund	$606,083	Aug 16, 2018

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
R•••• C•••••• J••••	MANAGING MEMBER	D	yes	05/2018	Mar 30, 2026	Mar 30, 2026
S•••• R••••• P••••••	MANAGING MEMBER, CHIEF COMPLIANCE OFFICER	D	yes	05/2018	Mar 30, 2026	Mar 30, 2026

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 30, 2026	$119M	$119M	3	2	0	2	n/a

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	$119M	n/a	n/a	n/a	n/a	3	n/a	0	n/a

Relationships

Advises (3)

→ S•••• P•••• A•••• C•••••• L•Private fundHedge Fund, IA
Mar 21, 2022 to presentfactForm ADV
→ S•••• O•••••• L•Private fundHedge Fund, IA
Aug 16, 2018 to presentfactForm ADV
→ S•••• O••••••• L•••Private fundHedge Fund, ERA, no longer reported
Aug 16, 2018 to Aug 16, 2018factForm ADV

Controls (2)

Dated events

Occurred
Mar 30, 2026
Ria registration change
••• Locked
Form ADVobserved today

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ad34a89f-60d1-6ef5-a888-415ed8021f85
First observed: Mar 30, 2026
Last observed: Mar 30, 2026 5 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.