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

YELLOWBRICKROAD FINANCIAL ADVISORS, LLC

CRD 134209

CORTE MADERA, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:fcb858e9-84af-3a51-1dbd-5ed51bac96ad

Data as of Mar 26, 2019 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 7:32 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 0
On other graphs: 0
Observed: Dec 23, 2011 to Mar 26, 2019
29 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: $266MItem 5.F on the latest filing (2019-03-26); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $265M
Private client RAUM: $266MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 8
Advisory employees: 4
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 1,091
Individual clients: 171
High net worth clients: 79
Custody, client assets: $66.2M
SEC number: 801-72467
CRD: 134209
Filings on the tape: 29
First filed: Dec 23, 2011
Latest filed: Mar 26, 2019
Organised: Limited Liability Company, California

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
OHMER, JOHN, STEPHEN	SOLE AND MANAGING MEMBER/CHIEF COMPLIANCE OFFICER	E	yes	06/2003	Dec 23, 2011	Mar 26, 2019

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
2018	Mar 26, 2019	$266M	$265M	8	4	0	n/a	n/a
2017	Mar 20, 2018	$263M	$263M	9	5	0	n/a	n/a
2016	Mar 13, 2017	$232M	$232M	10	6	n/a	n/a	n/a
2015	Mar 10, 2016	$211M	$211M	8	4	n/a	n/a	n/a
2014	Mar 6, 2015	$214M	$214M	9	4	n/a	n/a	n/a
2013	Mar 11, 2014	$216M	$216M	8	3	n/a	n/a	n/a
2012	Mar 4, 2013	$220M	$220M	4	2	n/a	n/a	n/a
2011	Mar 23, 2012	$198M	$198M	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
2018	$266M	$263M	1.2%	$211M	8.0%	8	9	0	0

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
ALLWORTH FINANCIAL, L.P.	3	Apr 2, 2020	Dec 10, 2024	CORTE MADERA, CA	Firm absorbed	RIA to RIA	100.0%

Relationships

Controls (1)

← OHMER, JOHN, STEPHENOwnerSOLE AND MANAGING MEMBER/CHIEF COMPLIANCE OFFICER, ownership code E, individual
Dec 23, 2011 to presentfactForm ADV

Moved with (1)

→ ALLWORTH FINANCIAL, L.P.Registered adviser3 advisors, firm absorbed, same day
Apr 2, 2020 to Dec 10, 2024factForm ADV

Registered with (7)

← PAUL ALEXANDER AUSTINAdvisorregistration: previous registration
Nov 3, 2018 to Apr 2, 2020factForm ADV
← BRET HEDLEY CHARLES BUTCHERAdvisorregistration: previous registration
Jun 22, 2016 to Apr 2, 2020factForm ADV
← STEPHANIE MARIE MOTZKUS-BAKANAdvisorregistration: previous registration
Jul 15, 2013 to Apr 2, 2020factForm ADV
← DANELLE JENETAYEVAAdvisorregistration: previous registration
Jan 21, 2016 to Jul 2, 2018factForm ADV
← ADAM GUADALUPE SALASAdvisorregistration: previous registration
Nov 28, 2016 to Dec 19, 2017factForm ADV
← CHARLES WESLEY MALSBURYAdvisorregistration: previous registration
Jul 15, 2013 to Jul 6, 2016factForm ADV
← ARTHUR JOHN AMBARIKAdvisorregistration: previous registration
Feb 17, 2011 to Feb 15, 2013factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:fcb858e9-84af-3a51-1dbd-5ed51bac96ad
First observed: Dec 23, 2011
Last observed: Mar 26, 2019 91 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.

YELLOWBRICKROAD FINANCIAL ADVISORS, LLC

CRD 134209

CORTE MADERA, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:fcb858e9-84af-3a51-1dbd-5ed51bac96ad

Data as of Mar 26, 2019 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 7:32 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

OHMER, JOHN, STEPHEN

SOLE AND MANAGING MEMBER/CHIEF COMPLIANCE OFFICER

yes

06/2003

Dec 23, 2011

Mar 26, 2019

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2018

Mar 26, 2019

$266M

$265M

n/a

2017

Mar 20, 2018

$263M

n/a

2016

Mar 13, 2017

$232M

n/a

2015

Mar 10, 2016

$211M

n/a

2014

Mar 6, 2015

$214M

n/a

2013

Mar 11, 2014

$216M

n/a

2012

Mar 4, 2013

$220M

n/a

2011

Mar 23, 2012

$198M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2018

$266M

$263M

1.2%

$211M

8.0%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

ALLWORTH FINANCIAL, L.P.

Apr 2, 2020

Dec 10, 2024

CORTE MADERA, CA

Firm absorbed

RIA to RIA

100.0%