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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

M••••••• C•••••• I•••••••• I••

CRD 105562

ORINDA, CA

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Search this name across graphsid dfx:ria:f8c541b9-b460-7113-19f2-0b8ff6b46984

Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:02 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2012 to Mar 30, 2026
22 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: independent wealth managerderivedprivate_client_share=0.61 fund_share=0.18 institutional_share=0.21 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $1.9BItem 5.F on the latest filing (2026-03-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.9B
Private client RAUM: $1.1BderivedItem 5.D individuals plus high net worth individuals
Private client share: 61%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
N•••• S••• H•••• F••• L•	Hedge Fund	$143M	Mar 30, 2021	11	Mar 30, 2012	dropped	n/a

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
M•••••••• A•••••• J•	President	C	yes	07/1982	Mar 30, 2026	Mar 30, 2026
M•••••••• T••••• H•	VICE PRESIDENT	C	yes	01/1986	Mar 30, 2026

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
2025	$1.9B	$1.9B	-0.5%	$1.4B	9.8%	5	5	0	0

Relationships

Owns (1)

← S•••••• T•••••• F•••OwnerSHAREHOLDER, ownership code B, individual
Mar 30, 2012 to Mar 28, 2024factForm ADV

Controls (3)

← M•••••••• T••••• H•OwnerVICE PRESIDENT, ownership code C, individual
Mar 30, 2012 to Mar 28, 2024factForm ADV
← M•••••••• A•••••• J•OwnerPRESIDENT, ownership code C, individual
Mar 30, 2012 to Mar 28, 2024factForm ADV
← U••••• L••••• M•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:f8c541b9-b460-7113-19f2-0b8ff6b46984
First observed: Mar 30, 2012
Last observed: Mar 30, 2026 5 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.

2025	Mar 30, 2026	$1.9B	$1.9B	5	2	0	n/a	n/a
2024	Mar 28, 2025	$1.9B	$1.9B	5	2	0	n/a	n/a
2023	Mar 28, 2024	$1.6B	$1.6B	5	2	0	n/a	n/a
2022	Mar 30, 2023	$1.4B	$1.4B	5	2	0	n/a	n/a
2021	Mar 30, 2022	$1.6B	$1.6B	5	2	0	n/a	n/a
2020	Mar 30, 2021	$1.4B	$1.4B	5	2	0	1	$143M
2019	Mar 30, 2020	$1.4B	$1.4B	5	2	0	1	$128M
2018	Mar 29, 2019	$1.3B	$1.3B	6	2	0	1	$102M
2017	Mar 29, 2018	$1.4B	$1.4B	5	2	0	1	$103M
2016	Mar 31, 2017	$1.2B	$1.2B	5	2	n/a	1	$90.1M
2015	Mar 30, 2016	$1.1B	$1.1B	5	2	n/a	1	$84.8M
2014	Apr 2, 2015	$1.0B	$1.0B	5	2	n/a	1	$84.3M
2013	Mar 28, 2014	$914M	$914M	5	2	n/a	1	$77.2M
2012	Mar 27, 2013	$652M	$652M	5	2	n/a	1	$59.0M
2011	Mar 30, 2012	$619M	$619M	n/a	n/a	n/a	1	$52.0M