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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

S•••• A•••• M••••••••• L••

CRD 126077

S••••, OR

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Search this name across graphsid dfx:ria:d9594033-ad70-3908-506f-23bccd832746

Data as of Jun 7, 2012 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:39 AM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 0
On other graphs: 0
Observed: Mar 29, 2012 to Jun 7, 2012
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
Regulatory AUM: $48.8MItem 5.F on the latest filing (2012-06-07); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $48.0M
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
Accounts

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
C••••••• R•••••• J••••	Member	D	yes	05/2006	Mar 29, 2012	Jun 7, 2012
H•••••••• J•••••• E•••••	MEMBER, CHIEF COMPLIANCE OFFICER	D	yes	12/2002	Mar 29, 2012

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

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

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	Mar 29, 2012	$48.8M	$48.0M	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
2011	$48.8M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Controls (2)

← H•••••••• J•••••• E•••••OwnerMEMBER, CHIEF COMPLIANCE OFFICER, ownership code D, individual
Mar 29, 2012 to presentfactForm ADV
← C••••••• R•••••• J••••OwnerMEMBER, ownership code D, individual
Mar 29, 2012 to presentfactForm ADV

Registered with (1)

← JEFFREY RYAN GRISWOLDAdvisorregistration: previous registration
Jan 12, 2005 to Dec 20, 2005factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d9594033-ad70-3908-506f-23bccd832746
First observed: Mar 29, 2012
Last observed: Jun 7, 2012 174 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.