DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

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

S•••••••• L••

CRD 149862

SAN FRANCISCO, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:b70d667d-7256-5f1e-cde1-3443804ec21a

Data as of Mar 28, 2018 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:33 PM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 1
On other graphs: 0
Observed: Jan 17, 2012 to Mar 28, 2018
24 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: $84.8M••• Locked
Discretionary RAUM: $84.8M
Private client RAUM: $62.4Mderived••• Locked
Private client share: 74%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 11

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D••••••••• R••••• M•••••••	MANAGING MEMBER	Na	yes	08/2013	Sep 27, 2013	Mar 28, 2018
J••••••• H••••• A••	CHIEF COMPLIANCE OFFICER	Na	yes	07/2017	Jul 18, 2017	Mar 28, 2018

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
F••• P•••• C•••••• P••••••• L••	n/a	Independent wealth	$2.9B	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2017	Mar 28, 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
2017	$84.8M	$211M	-59.7%	$264M	-31.5%	11	16	0	n/a

Relationships

Affiliated with (2)

→ F••• P•••• C•••••• P••••••• L••Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
← CYPRESS P•••• CAPITAL MANAGEMENT, LLCRegistered adviserother investment adviser, common control
factForm ADV

Controls (4)

← J••••••• H••••• A••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jul 18, 2017 to presentfactForm ADV
← D••••••••• R••••• M•••••••Owner

Dated events

Occurred
Mar 28, 2018
Regulatory AUM changed
S•••••••• L•• reported RAUM $84.8M, down 60% from $210.6M (2018-01-25 to 2018-03-28)
Form ADVobserved 7 days ago
$-126M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b70d667d-7256-5f1e-cde1-3443804ec21a
First observed: Jan 17, 2012
Last observed: Mar 28, 2018 103 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.