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

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

M•• E••• I••••••••• A•••••••• L••

CRD 133315

SAN FRANCISCO, CA

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Search this name across graphsid dfx:ria:ecd1f814-6cdf-1f9d-1174-a5238ff0c168

Data as of Mar 30, 2012 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:35 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2012 to Mar 30, 2012
1 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: $596MItem 5.F on the latest filing (2012-03-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $590M
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
D•••••• D•••	Trustee	F	yes	11/2008	Mar 30, 2012	Mar 30, 2012
M••••••••• K••••• B•••••••	Trustee	F	yes	11/2008	Mar 30, 2012

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 30, 2012	$596M	$590M	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	$596M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Owns (3)

← M•••••••• W••••••• S••••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 30, 2012 to presentfactForm ADV
← B••••••• T••••••• B••••••OwnerMEMBER, ownership code A, individual
Mar 30, 2012 to presentfactForm ADV
← J••• • B•••••• P•••••• R•••••••• T••••OwnerMEMBER, ownership code A, domestic entity
Mar 30, 2012 to presentfactForm ADV

Controls (3)

← M••••••••• K••••• B•••••••OwnerTRUSTEE, ownership code F, individual

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ecd1f814-6cdf-1f9d-1174-a5238ff0c168
First observed: Mar 30, 2012
Last observed: Mar 30, 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.