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

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

S•••••• I••••••••• A••••••• S•

CRD 152092

GENEVA

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Search this name across graphsid dfx:ria:f39572a9-ef75-fb4f-bef8-d23bf02e7238

Data as of Nov 9, 2015 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:47 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Mar 27, 2012 to Nov 9, 2015
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: $211MItem 5.F on the latest filing (2015-11-09); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $151M
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
Employees

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
B•••••• M•••••••• Y•••	CHIEF EXECUTIVE OFFICER	Na	yes	03/2010	Mar 27, 2012	Nov 9, 2015
F•••••••• E•••••• P••••••	Director	Na	yes	08/2015	Sep 4, 2015

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
S•• S•••• A••••••• S•••	n/a	Mixed wealth	$817M	N	yes	n/a
B••••• S•• ••••••• S•	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

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
2014	$211M	$120M	75.4%	$24.4M	105.5%	3	4	n/a	n/a

Relationships

Affiliated with (1)

→ SSA WEALTH ADVISORSRegistered adviserother investment adviser, common control
factForm ADV

Controls (5)

← U••••• N••••• M•••OwnerDIRECTOR, ownership code NA, individual
Sep 4, 2015 to presentfactForm ADV
← B•••••• M•••••••• Y•••OwnerCHIEF EXECUTIVE OFFICER, ownership code NA, individual
Mar 27, 2012 to presentfactForm ADV
← L••••••••• L••••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:f39572a9-ef75-fb4f-bef8-d23bf02e7238
First observed: Mar 27, 2012
Last observed: Nov 9, 2015 132 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.