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Former SEC-registered adviserFormer SEC adviser· San Francisco, California

Former SEC-registered adviser, based in San Francisco, California, reporting $114M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
$114M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
-8.9%
Form ADV, consecutive annual filings
Private clients
96% of RAUM, $109M
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
What we can say about this record

We hold 10 Form ADV filings for this adviser, the latest 7.6 years ago. It is no longer SEC-registered, so the figures here are its last ones and nothing on this record is current. It is still the right record for resolving this adviser, its filings, owners and affiliates.

Every filed figure, and the identifiersCRD 104661 · SEC 801-24109 · 10 filingsShow
CRD 104661SEC 801-24109Legal name C••••••••• P•••••• I••••••••• C••••First filing on the tape Mar 21, 2012, latest Mar 26, 2019IAPD
RAUM
$114M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$109M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$114M as of Mar 26, 2019
Mar 21, 2012$97.5M then
HNW client RAUM$109M as of Mar 26, 2019
Mar 20, 2018$108M then
State-registered IARs (5.B.3)0 as of Mar 26, 2019
Mar 21, 20120 then
Employees (5.A)3 as of Mar 26, 2019
Mar 11, 20133 then
Private funds: no history
RAUM -8.9% over the last fiscal year+0.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 26, 2019; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$904,915derivedHNW RAUM over HNW clients
Average account
$924,617derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
3.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-8.9%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
+44%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$109M96%
  • Pension and profit-sharing plans$4.2M3.7%
Individual clients
0reported
HNW clients
121reported
Pension plan clients
2reported
Charitable clients
0reported
Accounts
123reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••• T•••••• J••••• · Ceo /Chief Compliance Officercontrol
        since 04/1985 · owns 25% to 50%
      • J••••••••• D••••• C•••• · Presidentcontrol
        since 04/1985 · owns 50% to 75%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 133 to 123
        Mar 20, 2018 to Mar 26, 2019
      • Corporate clients · 1 to 0
        Mar 20, 2018 to Mar 26, 2019
      • HNW clients · 34 to 121
        Mar 20, 2018 to Mar 26, 2019
      • Individual clients · 50 to 0
        Mar 20, 2018 to Mar 26, 2019
      • Discretionary RAUM · $125M to $114M
        Mar 20, 2018 to Mar 26, 2019
      • HNW RAUM · $108M to $109M
        Mar 20, 2018 to Mar 26, 2019
      • Individual RAUM · 12521402.0 to unset
        Mar 20, 2018 to Mar 26, 2019
      • Pension RAUM · $4.1M to $4.2M
        Mar 20, 2018 to Mar 26, 2019
      • RAUM · $125M to $114M
        Mar 20, 2018 to Mar 26, 2019
      • Accounts · 145 to 133
        Mar 31, 2017 to Mar 20, 2018
      • Charity clients · unset to 0.0
        Mar 31, 2017 to Mar 20, 2018
      • Corporate clients · unset to 1.0
        Mar 31, 2017 to Mar 20, 2018
      • HNW clients · unset to 34.0
        Mar 31, 2017 to Mar 20, 2018
      • Individual clients · unset to 50.0
        Mar 31, 2017 to Mar 20, 2018
      • Pension plan clients · unset to 2.0
        Mar 31, 2017 to Mar 20, 2018
      • Pooled vehicle clients · unset to 0.0
        Mar 31, 2017 to Mar 20, 2018
      • Other offices · unset to 0.0
        Mar 31, 2017 to Mar 20, 2018
      • Discretionary RAUM · $117M to $125M
        Mar 31, 2017 to Mar 20, 2018
      • HNW RAUM · unset to 107929886.0
        Mar 31, 2017 to Mar 20, 2018
      • Individual RAUM · unset to 12521402.0
        Mar 31, 2017 to Mar 20, 2018
      • Pension RAUM · unset to 4092992.0
        Mar 31, 2017 to Mar 20, 2018
      • Pooled vehicle RAUM · unset to 0.0
        Mar 31, 2017 to Mar 20, 2018
      • RAUM · $117M to $125M
        Mar 31, 2017 to Mar 20, 2018
      • Accounts · 151 to 145
        Mar 8, 2016 to Mar 31, 2017
      • Discretionary RAUM · $113M to $117M
        Mar 8, 2016 to Mar 31, 2017
      • RAUM · $113M to $117M
        Mar 8, 2016 to Mar 31, 2017
      • Accounts · 160 to 151
        Mar 23, 2015 to Mar 8, 2016
      • Discretionary RAUM · $122M to $113M
        Mar 23, 2015 to Mar 8, 2016
      • RAUM · $122M to $113M
        Mar 23, 2015 to Mar 8, 2016
      • Accounts · 157 to 160
        Mar 18, 2014 to Mar 23, 2015
      • Discretionary RAUM · $116M to $122M
        Mar 18, 2014 to Mar 23, 2015
      • RAUM · $116M to $122M
        Mar 18, 2014 to Mar 23, 2015
      • Accounts · 165 to 157
        Mar 11, 2013 to Mar 18, 2014
      • Discretionary RAUM · $106M to $116M
        Mar 11, 2013 to Mar 18, 2014
      • RAUM · $106M to $116M
        Mar 11, 2013 to Mar 18, 2014
      • Accounts · 175 to 165
        Apr 18, 2012 to Mar 11, 2013
      • Advisory employees · unset to 2.0
        Apr 18, 2012 to Mar 11, 2013
      • Employees · unset to 3.0
        Apr 18, 2012 to Mar 11, 2013
      • Discretionary RAUM · $97.5M to $106M
        Apr 18, 2012 to Mar 11, 2013
      • RAUM · $97.5M to $106M
        Apr 18, 2012 to Mar 11, 2013
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      Provenance
      Form ADV
      SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
      Advisors
      IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
      Class
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026