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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

STEPHEN JAMES BUTLER LLC

CRD 134555

PLEASANT HILL, 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:bbe2c9c5-53ae-4350-894b-e11cbf745f12

Data as of Oct 29, 2020 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:00 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 2
On other graphs: 0
Observed: Dec 19, 2014 to Oct 29, 2020
15 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
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 0
Employees: 3
Advisory employees: 3
Offices: 0Schedule D 1.F, beyond the principal office
SEC number: 801-80799
CRD: 134555
Filings on the tape: 15
First filed: Dec 19, 2014
Latest filed: Oct 29, 2020
Organised: Limited Liability Company, Delaware

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
BUTLER, STEPHEN, JAMES	Manager	E	yes	12/1998	Dec 19, 2014	Oct 29, 2020
BUDIMAN, MELANIA, I	CHIEF COMPLIANCE OFFICER/MANAGER	Na	no	12/2014	Dec 19, 2014	Oct 29, 2020

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
PENSION DYNAMICS COMPANY LLC	n/a	n/a	n/a	Y	yes	n/a
PENSION DYNAMICS SECURITIES CORPORATION	n/a	n/a	n/a	Y	yes	n/a

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
2019	Mar 3, 2020	n/a	n/a	3	3	0	n/a	n/a
2018	Feb 26, 2019	n/a	n/a	3	3	0	n/a	n/a
2017	Mar 30, 2018	n/a	n/a	3	3	0	n/a	n/a
2016	Mar 10, 2017	n/a	n/a	3	3	n/a	n/a	n/a
2015	Mar 24, 2016	n/a	n/a	3	3	n/a	n/a	n/a
2014	Feb 9, 2015	n/a	n/a	3	3	n/a	n/a	n/a

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
2019	n/a	n/a	n/a	n/a	n/a	3	3	0	0

Relationships

Controls (1)

← BUTLER, STEPHEN, JAMESOwnerMANAGER, ownership code E, individual
Dec 19, 2014 to presentfactForm ADV

Owns (1)

← BUDIMAN, MELANIA, IOwnerCHIEF COMPLIANCE OFFICER/MANAGER, ownership code NA, individual
Dec 19, 2014 to presentfactForm ADV

Registered with (1)

← KAREN BARABUTES BARTAAdvisorregistration: previous registration
Dec 19, 2014 to Dec 31, 2020factForm ADV

Dated events

Occurred
Dec 19, 2014
Succession filed (Item 4)
Butler, Stephen James reported succeeding to the business of Another Adviser (Form ADV Item 4)
Form ADVobserved 4 days ago
Occurred
Dec 19, 2014
First Form ADV filing
Butler, Stephen James filed its initial SEC registration (Form ADV)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:bbe2c9c5-53ae-4350-894b-e11cbf745f12
First observed: Dec 19, 2014
Last observed: Oct 29, 2020 71 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.

STEPHEN JAMES BUTLER LLC

CRD 134555

PLEASANT HILL, 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:bbe2c9c5-53ae-4350-894b-e11cbf745f12

Data as of Oct 29, 2020 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:00 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BUTLER, STEPHEN, JAMES

Manager

yes

12/1998

Dec 19, 2014

Oct 29, 2020

BUDIMAN, MELANIA, I

CHIEF COMPLIANCE OFFICER/MANAGER

12/2014

Dec 19, 2014

Oct 29, 2020

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

PENSION DYNAMICS COMPANY LLC

n/a

yes

n/a

PENSION DYNAMICS SECURITIES CORPORATION

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2019

Mar 3, 2020

n/a

2018

Feb 26, 2019

n/a

2017

Mar 30, 2018

n/a

2016

Mar 10, 2017

n/a

2015

Mar 24, 2016

n/a

2014

Feb 9, 2015

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2019

n/a