DFX Intelligence

S•••••• V••••• W••••• A•••••••• L••: 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•••••• V••••• W••••• A•••••••• L••

CRD 106017

SAN JOSE, CA

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Search this name across graphsid dfx:ria:bd0b631c-fa39-7883-4071-77e7bdd61f5e

Data as of Nov 27, 2023 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 5:46 PM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 8
On other graphs: 0
Observed: Dec 2, 2011 to Nov 27, 2023
39 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: $329M••• Locked
Discretionary RAUM: $327M
Private client RAUM: $327Mderived••• Locked
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 6
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
L••••••• T••••• F••••	MANAGING MEMBER, CHIEF EXECUTIVE OFFICER,CHIEF COMPLIANCE OFFICER	E	yes	03/2006	Dec 2, 2011	Nov 27, 2023
P•••••• R••••••• S••••	SENIOR WEALTH ADVISOR	B	no	01/2020	Feb 5, 2020	Nov 27, 2023

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
HALF MOON BAY	CA	United States	1	no

Regulatory AUM by fiscal year

••• Locked

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

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2022	$329M	$479M	-31.3%	$358M	-2.7%	6	7	1	2

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
A••••••• F••••••••• L•••	4	Jan 2, 2024	Dec 21, 2023	SAN JOSE, CA	Firm absorbed	RIA to ibd	100.0%

Relationships

Owns (1)

← P•••••• R••••••• S••••OwnerSENIOR WEALTH ADVISOR, ownership code B, individual
Feb 5, 2020 to presentfactForm ADV

Controls (1)

← L••••••• T••••• F••••OwnerMANAGING MEMBER, CHIEF EXECUTIVE OFFICER,CHIEF COMPLIANCE OFFICER, ownership code E, individual
Dec 2, 2011 to presentfactForm ADV

Registered with (7)

← Randall Scott PonderAdvisorregistration: previous registration
Nov 12, 2019 to Jan 2, 2024factForm ADV

Dated events

Occurred
Jan 2, 2024
Firm absorbed
S•••••• V••••• W••••• A•••••••• L••'s advisors moved to A••••••• F••••••••• L••• (San Jose, CA): 4 of 4 registered, on the same day
Form ADVobserved 7 days ago
4 advisors
Occurred
Jan 2, 2024
Advisor changed firm
T•••• F•••• L•••••• left S•••••• V••••• W••••• A•••••••• L•• for A••••••• F••••••••• L••• (registered 2023-12-08)
Form ADVobserved 7 days ago
Occurred
Jan 2, 2024
Advisor changed firm
Scott Preston Yang left S•••••• V••••• W••••• A•••••••• L•• for A••••••• F••••••••• L••• (registered 2023-12-21)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:bd0b631c-fa39-7883-4071-77e7bdd61f5e
First observed: Dec 2, 2011
Last observed: Nov 27, 2023 34 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.