DFX Intelligence

Data Factory

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

STANFORD INVESTMENT GROUP, INC.

CRD 10331

MOUNTAIN VIEW, 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:d7163992-8705-8de1-68ea-7bd0dc9e61bd

Data as of Oct 6, 2016 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 3:11 PM UTC and rebuilt at most every 15 minutes.

Relationships: 16
Dated events: 0
On other graphs: 0
Observed: Apr 2, 2012 to Oct 6, 2016
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
Regulatory AUM: $801MItem 5.F on the latest filing (2016-10-06); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $778M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 16
Advisory employees: 16
Accounts: 985
SEC number: 801-16773
CRD: 10331
Filings on the tape: 9
First filed: Apr 2, 2012
Latest filed: Oct 6, 2016
Organised: Corporation, California

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
BARNEA, LISA, MICHELLE	CFO AND CCO	A	yes	10/2004	Apr 2, 2012	Oct 6, 2016
DIETZ, HELEN, ANN	CEO, PRESIDENT	D	yes	05/2004	Apr 2, 2012	Oct 6, 2016
KIRKPATRICK, JOHN, DOWLING	VICE PRESIDENT, DIRECTOR OF PORTFOLIO MANAGEMENT	B	yes	10/2012	Apr 2, 2012	Oct 6, 2016
LAPSIWALA, NAYAN, PRAFULCHANDRA	WEALTH ADVISOR, PRINCIPAL	A	no	01/2016	Mar 30, 2016	Oct 6, 2016
PIERLUISSI, TALIA	WEALTH ADVISOR, PRINCIPAL	A	no	01/2016	Mar 30, 2016	Oct 6, 2016
SIMMONDS, KATHERINE, ANN	WEALTH ADVISOR, PRINCIPAL	Na	no	01/2016	Mar 30, 2016	Oct 6, 2016

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
2015	Mar 30, 2016	$801M	$778M	16	16	n/a	n/a	n/a
2014	Mar 30, 2015	$775M	$748M	15	15	n/a	n/a	n/a
2013	Mar 28, 2014	$733M	$710M	14	8	n/a	n/a	n/a
2012	Mar 28, 2013	$610M	$591M	15	8	n/a	n/a	n/a
2011	Apr 2, 2012	$508M	$490M	n/a	n/a	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
2015	$801M	$775M	3.3%	$610M	9.5%	16	15	n/a	n/a

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
ASPIRIANT, LLC	2	Mar 28, 2017	Jun 18, 2018	MOUNTAIN VIEW, CA	Team lift out	Other	100.0%
ASPIRIANT, LLC	5	Feb 9, 2017	Feb 1, 2017	MOUNTAIN VIEW, CA	Firm absorbed	Other	71.4%

Relationships

Controls (3)

← DIETZ, HELEN, ANNOwnerCEO, PRESIDENT, ownership code D, individual
Apr 2, 2012 to presentfactForm ADV
← BARNEA, LISA, MICHELLEOwnerCFO AND CCO, ownership code A, individual
Apr 2, 2012 to presentfactForm ADV
← KIRKPATRICK, JOHN, DOWLINGOwnerVICE PRESIDENT, DIRECTOR OF PORTFOLIO MANAGEMENT, ownership code B, individual
Apr 2, 2012 to presentfactForm ADV

Owns (3)

← SIMMONDS, KATHERINE, ANNOwnerWEALTH ADVISOR, PRINCIPAL, ownership code NA, individual
Mar 30, 2016 to presentfactForm ADV
← PIERLUISSI, TALIAOwnerWEALTH ADVISOR, PRINCIPAL, ownership code A, individual
Mar 30, 2016 to presentfactForm ADV
← LAPSIWALA, NAYAN, PRAFULCHANDRAOwnerWEALTH ADVISOR, PRINCIPAL, ownership code A, individual
Mar 30, 2016 to presentfactForm ADV

Moved with (1)

→ ASPIRIANT, LLCRegistered adviser2 advisors, team lift out, same day
Mar 28, 2017 to Jun 18, 2018factForm ADV

Registered with (8)

← CLIFF C LOHAdvisorregistration: previous registration
Jan 6, 2016 to Mar 28, 2017factForm ADV
← KALEB KEVIN PADDOCKAdvisorregistration: previous registration
Jan 1, 2016 to Mar 28, 2017factForm ADV
← DARRYL RANDOLPH RAEAdvisorregistration: previous registration
Jan 4, 2016 to Feb 9, 2017factForm ADV
← HELEN ANN DIETZAdvisorregistration: previous registration
Jul 8, 1997 to Feb 9, 2017factForm ADV
← TALIA PIERLUISSIAdvisorregistration: previous registration
Nov 16, 2006 to Feb 9, 2017factForm ADV
← NATALIE ANN MORRELLAAdvisorregistration: previous registration
Jan 4, 2016 to Feb 9, 2017factForm ADV
← NAYAN PRAFULCHANDRA LAPSIWALAAdvisorregistration: previous registration
Jan 4, 2016 to Feb 9, 2017factForm ADV
← KATHERINE ANN SIMMONDSAdvisorregistration: previous registration
Jun 6, 2007 to Dec 27, 2016factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d7163992-8705-8de1-68ea-7bd0dc9e61bd
First observed: Apr 2, 2012
Last observed: Oct 6, 2016 121 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.

STANFORD INVESTMENT GROUP, INC.

CRD 10331

MOUNTAIN VIEW, 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:d7163992-8705-8de1-68ea-7bd0dc9e61bd

Data as of Oct 6, 2016 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 3:11 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BARNEA, LISA, MICHELLE

CFO AND CCO

yes

10/2004

Apr 2, 2012

Oct 6, 2016

DIETZ, HELEN, ANN

CEO, PRESIDENT

yes

05/2004

Apr 2, 2012

Oct 6, 2016

KIRKPATRICK, JOHN, DOWLING

VICE PRESIDENT, DIRECTOR OF PORTFOLIO MANAGEMENT

yes

10/2012

Apr 2, 2012

Oct 6, 2016

LAPSIWALA, NAYAN, PRAFULCHANDRA

WEALTH ADVISOR, PRINCIPAL

01/2016

Mar 30, 2016

Oct 6, 2016

PIERLUISSI, TALIA

WEALTH ADVISOR, PRINCIPAL

01/2016

Mar 30, 2016

Oct 6, 2016

SIMMONDS, KATHERINE, ANN

WEALTH ADVISOR, PRINCIPAL

01/2016

Mar 30, 2016

Oct 6, 2016

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2015

Mar 30, 2016

$801M

$778M

n/a

2014

Mar 30, 2015

$775M

$748M

n/a

2013

Mar 28, 2014

$733M

$710M

n/a

2012

Mar 28, 2013

$610M

$591M

n/a

2011

Apr 2, 2012

$508M

$490M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2015

$801M

$775M

3.3%

$610M

9.5%

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

ASPIRIANT, LLC

Mar 28, 2017

Jun 18, 2018

MOUNTAIN VIEW, CA

Team lift out

Other

100.0%

ASPIRIANT, LLC

Feb 9, 2017

Feb 1, 2017

MOUNTAIN VIEW, CA

Firm absorbed

Other

71.4%