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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

W•• I••••••••• I•••

CRD 107214

SAN FRANCISCO, CA

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Search this name across graphsid dfx:ria:b9c0bec1-3b59-2db2-6886-7f218fb378f1

Data as of Mar 30, 2016 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 11:00 AM UTC and rebuilt at most every 15 minutes.

Relationships: 28
Dated events: 0
On other graphs: 0
Observed: Feb 14, 2012 to Mar 30, 2016
17 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: $1.0BItem 5.F on the latest filing (2016-03-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $724M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
H•••• L•••••••• S••••••	CHIEF COMPLIANCE OFFICER	Na	yes	08/2013	Aug 20, 2013	Mar 30, 2016
L•••• N••••• C••••••• L••	Shareholder	D	yes	04/1994	Feb 14, 2012

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
H••••••• I••••••••• L••	n/a	Former SEC adviser	$879M	Y	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Denver	Co	United States	n/a	no
NEW YORK	NY	United States	n/a	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

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

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2015	$1.0B	$8.4B	-88.1%	$14B	-58.3%	31	56	n/a	n/a

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
G••••• A•••••••• L••	2	Jul 29, 2016	Jan 3, 2014	SAN FRANCISCO, CA	Team lift out	Other	28.6%

Relationships

Affiliated with (2)

→ H••••••• I••••••••• L••Registered adviserother investment adviser, control, common control
factForm ADV
← H••••••• I••••••••• L••Registered adviserother investment adviser, control, common control
factForm ADV

Owns (1)

← S•••••• T•••••••• H•••••OwnerCHAIRMAN, ownership code NA, individual
Feb 14, 2012 to presentfactForm ADV

Controls (7)

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b9c0bec1-3b59-2db2-6886-7f218fb378f1
First observed: Feb 14, 2012
Last observed: Mar 30, 2016 127 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.