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CRD 336637
WALNUT CREEK, CA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| A••• D•••• S••••••••• | Certified Financial Planner | WALNUT CREEK, CA | 1 | 22 | 2 | no |
| J•••• L••• B••• | n/a | WALNUT CREEK, CA | 0 | 25 |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Mar 30, 2026 | $443M | $443M | 4 | 3 | 0 | n/a | n/a |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 2 | 0 | 2 | 0.0% | 0 | 0 | 0 | 3 | 0 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $443M | n/a | n/a | n/a | n/a | 4 | n/a | 0 | n/a |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| C••••••••• F•••••••• N•••••• | 3 | Jul 14, 2025 | Mar 27, 2026 | WALNUT CREEK, CA | Team lift out | Ibd to new firm | 0.1% |
| no |
| A••••••• R••••• V•••• R••••••• | n/a | WALNUT CREEK, CA | 0 | 20 | 3 | no |