DFX Intelligence

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

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RIA / WealthRegistered adviserstate registeredstate registeredRAUM under $100M

F••• A•• C•••••••• A•••••••

THE SANTA CRUZ COMPANY LLC, CRD 331936

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Search this name across graphsid dfx:ria:b4371343-3b05-8e42-c9b0-0c1dfa3d3dac

Data as of May 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:19 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: May 14, 2026 to May 14, 2026
1 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: state registeredderivedon the IAPD state feed, not SEC-registered
Regulatory AUM: $1.5M••• Locked
Discretionary RAUM: $973,397
Private client RAUM: $1.4Mderived••• Locked
Private client share: 96%derivedprivate client RAUM over total RAUM
Employees: 3
Advisory employees: 3

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
N••• S••••• G••••••	Certified Financial Planner\|Chartered Financial Consultant	LOS GATOS, CA	2	24	4	no
J••••• R•••••• W•••••••	n/a	Soquel, CA \| LOS GATOS, CA	1	15

Relationships

Registered with (3)

← S•••• K•••• P•••••Advisorregistration: current employment
Jan 16, 2026 to presentfactForm ADV
← J••••• R•••••• W•••••••Advisorregistration: current employment
Jun 25, 2025 to presentfactForm ADV
← N••• S••••• G••••••Advisorregistration: current employment
Aug 2, 2024 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b4371343-3b05-8e42-c9b0-0c1dfa3d3dac
First observed: May 14, 2026
Last observed: May 14, 2026 4 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.