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P••••••••• F•••••••• 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

P••••••••• F•••••••• A••••••• I••

CRD 105296

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Search this name across graphsid dfx:ria:d7f371cb-2106-5a94-9a3b-cce681d33311

Data as of Apr 3, 2012 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:04 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Feb 1, 2012 to Apr 3, 2012
8 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: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 2
SEC number: 801-21205
CRD: 105296
Filings on the tape: 8
First filed: Feb 1, 2012
Latest filed: Apr 3, 2012

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
C•••••• M•••	n/a	SAN JUAN CAPISTRANO , CA \| San Juan Capistrano, CA	29	43	1	yes
M••••••••• C••• M•••	Certified Financial Planner	San Juan Capistrano, CA \| SAN JUAN CAPISTRANO, CA	6

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
M•••• C••••••• C•	PRESIDENT AND CHIEF COMPLIANCE OFFICER	E	yes	09/1983	Feb 1, 2012	Apr 3, 2012

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
SAN JUAN CAPISTRANO	CA	United States	n/a	no

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
2011	Feb 1, 2012	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

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
2011	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Registered with (4)

← M••••••••• C••• M•••Advisorregistration: current employment
Jan 31, 2020 to presentfactForm ADV
← C•••••• M•••Advisorregistration: current employment
Jul 8, 1997 to presentfactForm ADV
← Maureen Ming-yuan TsuAdvisorregistration: previous registration
Jul 8, 1997 to Nov 16, 2011factForm ADV
← Charles Brian Conners

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d7f371cb-2106-5a94-9a3b-cce681d33311
First observed: Feb 1, 2012
Last observed: Apr 3, 2012 176 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.