DFX Intelligence

S•••• W••••• M••••••••• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

S•••• W••••• M••••••••• I•••

CRD 146902

SAN JOSE, CA

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Search this name across graphsid dfx:ria:b6a953e3-526d-9a01-f062-c82a5e423521

Data as of Mar 21, 2019 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:14 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Mar 21, 2012 to Mar 21, 2019
11 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: $235M••• Locked
Discretionary RAUM: $0
Private client RAUM: $235Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 5
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
H•••••• R•••••• J••	PRESIDENT, CHIEF COMPLIANCE OFFICER, SOLE OWNER	E	yes	04/2009	Mar 21, 2012	Mar 21, 2019

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2018

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2018	$235M	$272M	-13.6%	$244M	-1.3%	5	4	0	0

Relationships

Controls (1)

← H•••••• R•••••• J••OwnerPRESIDENT, CHIEF COMPLIANCE OFFICER, SOLE OWNER, ownership code E, individual
Mar 21, 2012 to presentfactForm ADV

Registered with (2)

← M•••••• D•••• D••••Advisorregistration: previous registration
May 21, 2008 to Nov 6, 2019factForm ADV
← C••••••••• S••• C••Advisorregistration: previous registration
Mar 5, 2014 to Nov 6, 2019factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b6a953e3-526d-9a01-f062-c82a5e423521
First observed: Mar 21, 2012
Last observed: Mar 21, 2019 91 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.