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CRD 131037
SAN FRANCISCO, CA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| DANIEL J MCAULIFFE | Certified Financial Planner | SAN FRANCISCO, CA | 11 | 15 | n/a | no |
| PHILIP ALLEN HART | n/a | SAN FRANCISCO, CA | 10 | 39 | n/a | no |
| SCOTT ALLEN YI | Chartered Financial Analyst | SAN FRANCISCO, CA | Irvine, CA | 9 | 21 | 2 | no |
| ERIC SETH JARDINE | Chartered Financial Analyst | Walnut Creek, CA | SAN FRANCISCO, CA | 8 | 21 | 3 | no |
| DAVID NATHAN HALE | Certified Financial Planner | SAN FRANCISCO, CA | 8 | 25 | 6 | yes |
| Jonathan Joseph Masse | Chartered Financial Analyst | SAN FRANCISCO, CA | 8 | 13 | 4 | no |
| JEREMY PAUL | Certified Financial Planner | SAG HARBOR, NY | SAN FRANCISCO, CA | Boca Raton, FL | 6 | 28 | 6 | yes |
| LINDSAY HAMBLETON STURMAK | Certified Financial Planner | SAN FRANCISCO, CA | Ridgewood, NJ | 6 | 28 | 7 | no |
| DEV GUPTA | Certified Financial Planner | SAN FRANCISCO, CA | 6 | 19 | 3 | no |
| ROBERT BLANEY SLOAN | n/a | SAN FRANCISCO, CA | BOCA RATON, FL | 6 | 22 | n/a | no |
| MARY LOUISE BALLIN | Certified Financial Planner | Walnut Creek, CA | SAN FRANCISCO, CA | 6 | 28 | 3 | no |
| ANDREA MARGUERITE HAMILTON | Certified Financial Planner | SAN FRANCISCO, CA | Walnut Creek, CA | 6 | 26 | 5 | no |
| ERIC JONATHAN LINSER | Chartered Financial Analyst | SAN FRANCISCO, CA | 5 | 26 | 6 | no |
| DEAN WILLIAM KUHLKIN | Chartered Financial Analyst | NEW YORK, NY | SAN FRANCISCO, CA | 5 | 10 | 3 | no |
| EDGAR HORACIO SALINAS | Certified Financial Planner | SAN FRANCISCO, CA | Mission, TX | 5 | 19 | 1 | no |
| WILLIAM LUTHER RACKLEY | Certified Financial Planner | Midlothian, VA | SAN FRANCISCO, CA | 5 | 22 | 3 | no |
| Rachel F. Elson | Certified Financial Planner | SAN FRANCISCO, CA | 5 | 11 | n/a | no |
| SCOTT DALE ELISHA | n/a | SAN FRANCISCO, CA | Scottsdale, AZ | 5 | 20 | 4 | no |
| CHRISTIE ANN BAKER | Certified Financial Planner|Personal Financial Specialist | Irvine, CA | SAN FRANCISCO, CA | 4 | 38 | 3 | no |
| GEORGE MILLHOLLAND MATTHAI | n/a | White Marsh, MD | SAN FRANCISCO, CA | 4 | 43 | 1 | no |
| CHRISTOPHER PAINE SPIRES | n/a | SAN FRANCISCO, CA | Atlanta, GA | 4 | 27 | 5 | yes |
| WILLIS BARNETT WIGGINS DOBBS | Chartered Financial Analyst | SAN FRANCISCO, CA | Atlanta, GA | 4 | 17 | 3 | no |
| Christina Lee Amor | n/a | SAN FRANCISCO, CA | Simpsonville, SC | 4 | 10 | 4 | no |
| STEPHEN JAMES SPAROLINI | n/a | WALNUT CREEK, CA | SAN FRANCISCO, CA | 4 | 22 | 1 | no |
| JOHN EDWARD TOWNES TAYLOR | Chartered Financial Consultant | SAPPHIRE, NC | CHARLESTON, SC | WILMINGTON, DE | SAN FRANCISCO, CA | 4 | 33 | 5 | no |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| AMBARIK, ARTHUR, JOHN | CHIEF EXECUTIVE OFFICER AND PARTNER | Na | yes | 01/2019 | Jun 12, 2026 | Jun 12, 2026 |
| HART, PHILIP, ALLEN | FOUNDER AND PARTNER | Na | yes | 01/2019 | Jun 12, 2026 | Jun 12, 2026 |
| HASAN, RAFIA, KHUSHBAKHT | CHIEF INVESTMENT OFFICER | Na | yes | 07/2023 | Jun 12, 2026 | Jun 12, 2026 |
| Hoy, Jonathan, Patrick | CHIEF OPERATING OFFICER | Na | yes | 12/2020 | Jun 12, 2026 | Jun 12, 2026 |
| PERIGON FINANCIAL HOLDINGS, LLC | Member | E | yes | 01/2019 | Jun 12, 2026 | Jun 12, 2026 |
| ROBBINS, JONATHAN, DAVID | CHIEF COMPLIANCE OFFICER | Na | yes | 11/2024 | Jun 12, 2026 | Jun 12, 2026 |
| SCARPELLO, DAVID, ALLEN | CHIEF FINANCIAL OFFICER | Na | yes | 09/2024 | Jun 12, 2026 | Jun 12, 2026 |
| STURMAK, LINDSAY, HAMBLETON | Partner | Na | yes | 12/2019 | Jun 12, 2026 | Jun 12, 2026 |
| AMBARIK, ARTHUR, JOHN | Partner | C | yes | 06/2014 | Mar 30, 2015 | Nov 18, 2024 |
| CWC PRISM INVESTOR, LLC | Member | C | yes | 04/2024 | Apr 12, 2024 | Nov 18, 2024 |
| JHBJ HOLDINGS, LLC | Partner | C | yes | 01/2020 | Feb 12, 2020 | Nov 18, 2024 |
| PAUL, JEREMY | Owner | E | yes | 10/2017 | Feb 12, 2020 | Nov 18, 2024 |
| PAUL, JEREMY | PRESIDENT, PARTNER | Na | yes | 11/2019 | Feb 12, 2020 | Nov 18, 2024 |
| PERIGON PARTNERS, LLC | Member | D | yes | 01/2019 | Feb 14, 2012 | Nov 18, 2024 |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| WALNUT CREEK | CA | United States | 4 | no |
| Southfield | Mi | United States | 4 | no |
| Petaluma | CA | United States | 3 | no |
| RANCHO SANTA FE | CA | United States | 3 | no |
| Wilmington | De | United States | 3 | yes |
| BOCA RATON | FL | United States | 3 | yes |
| Atlanta | Ga | United States | 3 | yes |
| NEW YORK | NY | United States | 3 | yes |
| Syracuse | NY | United States | 3 | no |
| Irvine | CA | United States | 2 | no |
| Westport | Ct | United States | 2 | no |
| Honolulu | Hi | United States | 2 | no |
| Amherst | Ma | United States | 2 | no |
| Ridgewood | Nj | United States | 2 | no |
| SOUTH NYACK | NY | United States | 2 | no |
| Reading | Pa | United States | 2 | yes |
| SANTA MONICA | CA | United States | 1 | no |
| WHITE MARSH | Md | United States | 1 | no |
| Cranbury | Nj | United States | 1 | no |
| Henderson | Nv | United States | 1 | no |
| NEW YORK | NY | United States | 1 | no |
| WEST COLUMBIA | Sc | United States | 1 | no |
| n/a | n/a | n/a | 1 | no |
| PALO ALTO | CA | United States | 0 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 30, 2026 | $11B | $9.0B | 159 | 92 | 41 | n/a | n/a |
| 2024 | Mar 28, 2025 | $8.7B | $7.5B | 141 | 82 | 46 | n/a | n/a |
| 2023 | Mar 22, 2024 | $6.9B | $5.1B | 126 | 73 | 40 | n/a | n/a |
| 2022 | Mar 24, 2023 | $4.8B | $4.0B | 98 | 61 | 35 | n/a | n/a |
| 2021 | Mar 23, 2022 | $3.3B | $2.8B | 62 | 44 | 23 | n/a | n/a |
| 2020 | Mar 31, 2021 | $2.4B | $2.0B | 41 | 29 | 10 | n/a | n/a |
| 2019 | Feb 12, 2020 | $1.8B | $1.5B | 32 | 27 | 9 | n/a | n/a |
| 2018 | Mar 21, 2019 | $772M | $751M | 19 | 14 | 3 | n/a | n/a |
| 2017 | Mar 26, 2018 | $625M | $611M | 16 | 10 | 4 | n/a | n/a |
| 2016 | Mar 28, 2017 | $882M | $869M | 22 | 14 | n/a | n/a | n/a |
| 2015 | Mar 24, 2016 | $722M | $709M | 15 | 8 | n/a | n/a | n/a |
| 2014 | Mar 30, 2015 | $821M | $694M | 16 | 8 | n/a | n/a | n/a |
| 2013 | Mar 27, 2014 | $284M | $270M | 11 | 4 | n/a | n/a | n/a |
| 2012 | Mar 26, 2013 | $163M | $149M | 7 | 4 | n/a | n/a | n/a |
| 2011 | Mar 22, 2012 | $147M | $131M | n/a | n/a | n/a | n/a | n/a |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 12 | 6 | 6 | 6.3% | 1 | 2 | 0 | 44 | 13 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $11B | $8.7B | 29.6% | $4.8B | 32.7% | 159 | 141 | 41 | 46 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| CYPRESS WEALTH SERVICES, LLC | 2 | Apr 21, 2025 | Apr 21, 2025 | BURLINGAME, CA | Team lift out | RIA to RIA | 2.5% |
| SLOW CAPITAL, INC. | 2 | Jul 2, 2018 | Jul 5, 2018 | SAN FRANCISCO, CA | Team lift out | Other | 15.4% |
| COLLABORATION CAPITAL LLC | 2 | Sep 25, 2017 | May 1, 2018 | SAN FRANCISCO, CA | Team lift out | Other | 22.2% |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| GITTERMAN WEALTH MANAGEMENT, LLC | 7 | Dec 9, 2025 | Nov 26, 2025 | EDISON, NJ | Firm absorbed | RIA to RIA | 100.0% |
| UBS FINANCIAL SERVICES INC. | 2 | Oct 24, 2024 | Oct 18, 2024 | PARKLAND, FL | Team lift out | Wirehouse to RIA | 0.0% |
| COMMONWEALTH FINANCIAL NETWORK | 2 | Jun 24, 2024 | Jun 21, 2024 | SOUTH NYACK, NY | Team lift out | Ibd to RIA | 0.1% |
| BLUE WATER CAPITAL MANAGEMENT, LLC | 3 | Mar 29, 2024 | Jan 3, 2024 | SYRACUSE, NY | Firm absorbed | RIA to RIA | 100.0% |
| LUMIN FINANCIAL, LLC | 3 | Mar 21, 2024 | Mar 4, 2024 | SOUTHFIELD, MI | Firm absorbed | RIA to RIA | 100.0% |
| WEALTH ADVISORS, INC. | 2 | Feb 16, 2024 | Jan 2, 2026 | RANCHO SANTA FE, CA | Team lift out | RIA to RIA | 50.0% |
| BURLESON & COMPANY, LLC | 4 | May 31, 2023 | Jan 1, 2025 | PETALUMA, CA | Firm absorbed | RIA to RIA | 80.0% |
| COGNIZANT WEALTH ADVISORS | 2 | Mar 3, 2023 | Feb 1, 2023 | PALO ALTO, CA | Team lift out | RIA to RIA | 100.0% |
| NAUSET WEALTH MANAGEMENT, LLC | 2 | Jan 13, 2023 | Nov 15, 2022 | WESTPORT, CT | Team lift out | RIA to RIA | 100.0% |
| PM WEALTH MANAGEMENT, LLC | 9 | Dec 19, 2022 | Apr 17, 2023 | NEW YORK, NY | Firm absorbed | RIA to RIA | 90.0% |
| SAGEPOINT FINANCIAL, INC. | 2 | Apr 29, 2022 | Apr 27, 2022 | DAUFUSKIE ISLAND, SC | Team lift out | Ibd to RIA | 0.2% |
| BISON WEALTH, LLC | 2 | Jan 3, 2022 | Dec 15, 2021 | ATLANTA, GA | Team lift out | RIA to RIA | 15.4% |
| BISON WEALTH, LLC | 2 | Dec 2, 2021 | Jul 28, 2023 | ATLANTA, GA | Team lift out | RIA to RIA | 13.3% |
| RLP WEALTH ADVISORS, LLC | 3 | Jan 17, 2020 | Nov 30, 2023 | RIDGEWOOD, NJ | Firm absorbed | RIA to RIA | 75.0% |
| FIRST ALLIED ADVISORY SERVICES, INC. | 2 | May 24, 2019 | Nov 17, 2023 | RANCHO SANTA FE, CA | Team lift out | Ibd to RIA | 0.4% |