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Former SEC-registered adviser

T••••••• G•••• I•••••••••

Former SEC-registered adviserMalibu, CaliforniaCRD 106076SEC 801-13612IAPD
Latest filing Mar 7, 2018
First filing on the tape Mar 27, 2012 · 9 filings
RAUM
$132M
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
98%
$130M 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
9 filings and snapshots on the tape
RAUM$132M as of Mar 7, 2018
Mar 27, 2012$92.1M then
HNW client RAUM: $124M
State-registered IARs (5.B.3)0 as of Mar 7, 2018
Mar 27, 20120 then
Employees (5.A)3 as of Mar 7, 2018
Mar 27, 20133 then
Private funds: no history
RAUM +16% over the last fiscal year+0.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 7, 2018; 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
$3.9MderivedHNW RAUM over HNW clients
Average account
$1.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
98%derivedof RAUM
Institutional
1.6%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
+16%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
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
  • buys or sells securities as principal to or from clients (8.A.2)
  • 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$124M94%
  • Individuals$5.8M4.4%
  • Charitable organizations$2.2M1.6%
Individual clients
20reported
HNW clients
32reported
Pension plan clients
0reported
Charitable clients
1reported
Accounts
101reported
Financial planning clients
n/areported
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••••••••• D••••• R•••••• · President/Ceo, Secretary, Cfo, Chief Compliance Officer, Chairman Of The Boardcontrol
        since 03/2008 · owns 50% to 75%
      • T•••••••• T•••••• B•••• · Vice President, Director Of Business Developmentcontrol
        since 10/2015 · 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 · 110 to 101
        Mar 23, 2017 to Mar 7, 2018
      • Charity clients · unset to 1.0
        Mar 23, 2017 to Mar 7, 2018
      • Corporate clients · unset to 0.0
        Mar 23, 2017 to Mar 7, 2018
      • HNW clients · unset to 32.0
        Mar 23, 2017 to Mar 7, 2018
      • Individual clients · unset to 20.0
        Mar 23, 2017 to Mar 7, 2018
      • Pension plan clients · unset to 0.0
        Mar 23, 2017 to Mar 7, 2018
      • Pooled vehicle clients · unset to 0.0
        Mar 23, 2017 to Mar 7, 2018
      • Other offices · unset to 0.0
        Mar 23, 2017 to Mar 7, 2018
      • Discretionary RAUM · $111M to $129M
        Mar 23, 2017 to Mar 7, 2018
      • HNW RAUM · unset to 124442158.0
        Mar 23, 2017 to Mar 7, 2018
      • Individual RAUM · unset to 5794850.0
        Mar 23, 2017 to Mar 7, 2018
      • Non-discretionary RAUM · $2.9M to $3.2M
        Mar 23, 2017 to Mar 7, 2018
      • Pension RAUM · unset to 0.0
        Mar 23, 2017 to Mar 7, 2018
      • Pooled vehicle RAUM · unset to 0.0
        Mar 23, 2017 to Mar 7, 2018
      • RAUM · $114M to $132M
        Mar 23, 2017 to Mar 7, 2018
      • Discretionary RAUM · $120M to $111M
        Mar 16, 2016 to Mar 23, 2017
      • Non-discretionary RAUM · $3.8M to $2.9M
        Mar 16, 2016 to Mar 23, 2017
      • RAUM · $124M to $114M
        Mar 16, 2016 to Mar 23, 2017
      • Accounts · 107 to 110
        Mar 27, 2015 to Mar 16, 2016
      • Discretionary RAUM · $128M to $120M
        Mar 27, 2015 to Mar 16, 2016
      • Non-discretionary RAUM · $3.8M to $3.8M
        Mar 27, 2015 to Mar 16, 2016
      • RAUM · $132M to $124M
        Mar 27, 2015 to Mar 16, 2016
      • Accounts · 104 to 107
        Mar 17, 2014 to Mar 27, 2015
      • Discretionary RAUM · $126M to $128M
        Mar 17, 2014 to Mar 27, 2015
      • Non-discretionary RAUM · $3.3M to $3.8M
        Mar 17, 2014 to Mar 27, 2015
      • RAUM · $129M to $132M
        Mar 17, 2014 to Mar 27, 2015
      • Accounts · 95 to 104
        Dec 12, 2013 to Mar 17, 2014
      • Discretionary RAUM · $96.0M to $126M
        Dec 12, 2013 to Mar 17, 2014
      • Non-discretionary RAUM · $2.0M to $3.3M
        Dec 12, 2013 to Mar 17, 2014
      • RAUM · $98.0M to $129M
        Dec 12, 2013 to Mar 17, 2014
      • Accounts · 83 to 95
        Mar 27, 2012 to Mar 27, 2013
      • Advisory employees · unset to 2.0
        Mar 27, 2012 to Mar 27, 2013
      • Employees · unset to 3.0
        Mar 27, 2012 to Mar 27, 2013
      • Discretionary RAUM · $90.5M to $96.0M
        Mar 27, 2012 to Mar 27, 2013
      • Non-discretionary RAUM · $1.7M to $2.0M
        Mar 27, 2012 to Mar 27, 2013
      • RAUM · $92.1M to $98.0M
        Mar 27, 2012 to Mar 27, 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