DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

S•••••••• I••••••••• M••••••••• C•

CRD 112531

PALO ALTO, CA

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Search this name across graphsid dfx:ria:fe4af861-3964-a244-b688-736c9947af68

Data as of Jan 29, 2018 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:16 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Jan 30, 2012 to Jan 29, 2018
14 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: $25.0M••• Locked
Discretionary RAUM: $25.0M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 4
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
F•••••• S•••••• J••••	CHIEF FINANCIAL OFFICER	Na	yes	01/2017	Feb 3, 2017	Jan 29, 2018
H• I•••	Owner	E	yes	01/2000	Oct 30, 2015	Jan 29, 2018

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2017

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2017	$25.0M	$33B	-99.9%	$13B	-87.6%	4	10	1	n/a

Relationships

Owns (1)

← N••••••••• M••••••••• C•••••••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Dec 20, 2016 to presentfactForm ADV

Controls (3)

← F•••••• S•••••• J••••OwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Feb 3, 2017 to presentfactForm ADV
← N•••••• Z••••••• J••OwnerPRESIDENT, ownership code NA, individual
Jan 29, 2018 to presentfactForm ADV
← H• I•••OwnerOWNER, ownership code E, domestic entity

Dated events

Occurred
Jan 29, 2018
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$-33.2B

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:fe4af861-3964-a244-b688-736c9947af68
First observed: Jan 30, 2012
Last observed: Jan 29, 2018 105 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.