DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

F••• W••••• A•••••••• I•••

CRD 310790

PALO ALTO, CA

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Search this name across graphsid dfx:ria:d4f116a7-0d31-c4df-aab9-f3387ba16180

Data as of Jan 31, 2024 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:34 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 4
On other graphs: 0
Observed: Sep 15, 2020 to Jan 31, 2024
9 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: 1
Offices: 0Schedule D 1.F, beyond the principal office
SEC number: 801-119635
CRD: 310790

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••••••• A•••• M•	ADVISORY PRINCIPAL	Na	yes	08/2023	Aug 14, 2023	Jan 31, 2024
C•••• W••• K••	CHIEF EXECUTIVE OFFICER	Na	yes	07/2020	Sep 15, 2020	Jan 31, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
F••• C••••••• I••	n/a	n/a	n/a	N	yes	n/a
F••• F•••••• I••	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2023	Jan 31, 2024	n/a	n/a	3	1	0	n/a	n/a
2022	Feb 23, 2023

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2023	n/a	n/a	n/a	n/a	n/a	3	3	0	0

Relationships

Controls (4)

← C••••••••• A•••• M•OwnerADVISORY PRINCIPAL, ownership code NA, individual
Aug 14, 2023 to presentfactForm ADV
← C•••• W••• K••OwnerCHIEF EXECUTIVE OFFICER, ownership code NA, individual
Sep 15, 2020 to presentfactForm ADV
← S•••••• V•••••••••OwnerCHIEF COMPLIANCE OFFICER / CHIEF LEGAL OFFICER, ownership code NA, individual
Sep 15, 2020 to presentfactForm ADV
← F••• U•• I•••OwnerSHAREHOLDER, ownership code E, domestic entity
Sep 15, 2020 to presentfact

Dated events

Occurred
Aug 14, 2023
Control person left
Arnold Gary Tickel (Advisory Principal) no longer on Schedule A of F••• W••••• A•••••••• I••• (listed 2023-02-23, absent 2023-08-14)
Form ADVobserved 7 days ago
Occurred
Aug 14, 2023
Control person joined
M. Alex Catarroja (Advisory Principal) appeared on Schedule A of F••• W••••• A•••••••• I•••
Form ADVobserved 7 days ago
Occurred
Jul 25, 2023
Advisor departed, no destination yet
Gary Arnold Tickel no longer registered at F••• W••••• A•••••••• I•••; no later IA registration on IAPD
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d4f116a7-0d31-c4df-aab9-f3387ba16180
First observed: Sep 15, 2020
Last observed: Jan 31, 2024 32 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.