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

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

S•••••• S•• F•••••• F•••••••• A••••••• L••

CRD 129412

SAN MATEO, CA

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Data as of Jul 17, 2012 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 12:25 AM UTC and rebuilt at most every 15 minutes.

Relationships: 16
Dated events: 1
On other graphs: 0
Observed: Mar 28, 2012 to Jul 17, 2012
8 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: $43.7M••• Locked
Discretionary RAUM: $6.5M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 42
SEC number

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••• G••••••• C•	Member	A	yes	10/2003	Mar 28, 2012	Jul 17, 2012
G••••••• W••••••• A•	Member	A	yes	10/2003	Mar 28, 2012	Jul 17, 2012

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
MORGAN HILL	CA	United States	n/a	no
Pleasanton	CA	United States	n/a	no
SAN JOSE	CA	United States	n/a	no
SAN MATEO	CA	United States	n/a	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Mar 28, 2012	$43.7M	$6.5M	n/a	n/a	n/a	n/a	n/a

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2011	$43.7M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Controls (11)

← P••••• R••••• J•••••OwnerMANAGER/CHIEF COMPLIANCE OFFICER, ownership code A, individual
Mar 28, 2012 to presentfactForm ADV
← L••• R•••••• A••••OwnerMEMBER, ownership code A, individual
Mar 28, 2012 to presentfactForm ADV
← S••••••• J•••• D••••••OwnerMEMBER, ownership code A, individual
Mar 28, 2012 to presentfactForm ADV
← S••••••••• S•••••• E•••••OwnerMANAGER, ownership code A, individual
Mar 28, 2012 to presentfact

Dated events

Order

Occurred
6 Jan 2022
Advisor changed firm
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 28, 2012
Last observed: Jul 17, 2012 172 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.