DFX Intelligence

T••• A•••• C•••••• 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

T••• A•••• C•••••• M••••••••• L••

CRD 229787

SAN JOSE, CA

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Data as of Feb 5, 2018 (this record's last observation) from federal regulator filings. Page built Sep 24, 2026, 12:26 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 2
On other graphs: 0
Observed: Jul 30, 2015 to Feb 5, 2018
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: $9.7M••• Locked
Discretionary RAUM: $9.7M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 6
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
T••• A•••• C•••• I••••••••• M••••• F•••• L•••	Hedge Fund	$83.3M	May 24, 2017	6	Jul 30, 2015	reported	021-250735
T••• A•••• S••••••••• C•••• M••••• F•••• L•••	Hedge Fund	$78.1M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••• M•••••	MEMBER AND MEMBER OF THE BOARD OF ADVISORS	B	yes	07/2012	Jul 30, 2015	Feb 5, 2018
C••••• W•• P•••	Member	Na	yes	04/2012	Jul 30, 2015	Feb 5, 2018

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S••••••• J••••• I••••••••• A•• C••••••••• L••	n/a	n/a	n/a	Y	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2016	Mar 16, 2017

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2016	$9.7M	$103M	-90.6%	n/a	n/a	6	6	1	n/a

Relationships

Advises (2)

→ T••• A•••• S••••••••• C•••• M••••• F•••• L•••Private fundHedge Fund, ERA
Jul 11, 2018 to presentfactForm ADV
→ T••• A•••• C•••• I••••••••• M••••• F•••• L•••Private fundHedge Fund, IA
Jul 30, 2015 to presentfactForm ADV

Owns (3)

← G•••••••• B••••• R•••••OwnerMEMBER OF THE BOARD OF ADVISORS, ownership code NA, individual
Jul 30, 2015 to presentfactForm ADV
← W•••• J••••••••• J••••

Dated events

Order

Occurred
11 Jul 2018
Ria registration change
••• Locked
Form ADV
Occurred
30 Jul 2015
First Form ADV filing
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jul 30, 2015
Last observed: Feb 5, 2018 105 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.