DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC adviserNot on rosterRAUM none

T•••• F••• M••••••••• L••

CRD 167492

SAN FRANCISCO, CA

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Data as of Mar 31, 2016 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 11:13 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Nov 27, 2013 to Mar 31, 2016
4 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: $0derived••• Locked
Advisors on IAPD: 0
Employees: 3
Advisory employees: 2
SEC number: 801-78894
CRD: 167492
Filings on the tape: 4
First filed

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••••• G•••• L••	MANAGER AND OWNER	C	yes	07/2013	Nov 27, 2013	Mar 31, 2016
M••••••• A•••••• G•••••	MANAGER AND OWNER	D	yes	07/2013	Nov 27, 2013	Mar 31, 2016

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Mar 31, 2016

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2015	n/a	$2.8M	n/a	n/a	n/a	3	3	n/a	n/a

Relationships

Controls (2)

← C•••••• G•••• L••OwnerMANAGER AND OWNER, ownership code C, individual
Nov 27, 2013 to presentfactForm ADV
← M••••••• A•••••• G•••••OwnerMANAGER AND OWNER, ownership code D, individual
Nov 27, 2013 to presentfactForm ADV

Owns (1)

← C•••••• C••••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Nov 27, 2013 to presentfactForm ADV

Dated events

Order

Occurred
27 Nov 2013
First Form ADV filing
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Nov 27, 2013
Last observed: Mar 31, 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.