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Former SEC-registered adviser

F•• A•••• M••••••••• L••

Former SEC-registered adviserCRD 109418SEC 801-57786IAPD
Latest filing Mar 31, 2020
First filing on the tape Mar 21, 2012 · 15 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$500M as of Mar 11, 2019
Mar 21, 2012$836M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2020
Mar 21, 20120 then
Employees (5.A)2 as of Mar 31, 2020
Mar 27, 20134 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2020; 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
unknownderivedHNW RAUM over HNW clients
Average account
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, 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
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed fees, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
n/areported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, performancereported
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
      • F••• S••••••• C••••••• · President, Cio And Chief Compliance Officercontrol
        since 01/1996 · owns 75% or more
      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 · 1.0 to unset
        Sep 25, 2019 to Mar 31, 2020
      • Discretionary RAUM · 0.0 to unset
        Sep 25, 2019 to Mar 31, 2020
      • Non-discretionary RAUM · 500000000.0 to unset
        Sep 25, 2019 to Mar 31, 2020
      • Pension RAUM · unset to 0.0
        Sep 25, 2019 to Mar 31, 2020
      • RAUM · 500000000.0 to unset
        Sep 25, 2019 to Mar 31, 2020
      • HQ city · SAN JOSE to unset
        Mar 11, 2019 to Sep 25, 2019
      • HQ state · CA to unset
        Mar 11, 2019 to Sep 25, 2019
      • Employees · 3 to 2
        Mar 7, 2018 to Mar 11, 2019
      • Other offices · unset to 0.0
        Apr 2, 2017 to Mar 7, 2018
      • HQ city · SANTA CLARA to SAN JOSE
        Mar 2, 2017 to Apr 2, 2017
      • Non-discretionary RAUM · $721M to $500M
        Feb 25, 2016 to Mar 2, 2017
      • RAUM · $721M to $500M
        Feb 25, 2016 to Mar 2, 2017
      • Accounts · 4 to 1
        Mar 31, 2015 to Feb 25, 2016
      • Advisory employees · 2 to 1
        Mar 31, 2015 to Feb 25, 2016
      • Advisory activities · 3 to 5
        Mar 31, 2015 to Feb 25, 2016
      • Employees · 4 to 3
        Mar 31, 2015 to Feb 25, 2016
      • Discretionary RAUM · $1.5M to $0
        Mar 31, 2015 to Feb 25, 2016
      • Non-discretionary RAUM · $720M to $721M
        Mar 31, 2015 to Feb 25, 2016
      • RAUM · $722M to $721M
        Mar 31, 2015 to Feb 25, 2016
      • Accounts · 5 to 4
        Mar 19, 2014 to Mar 31, 2015
      • Discretionary RAUM · $1.4M to $1.5M
        Mar 19, 2014 to Mar 31, 2015
      • Non-discretionary RAUM · $671M to $720M
        Mar 19, 2014 to Mar 31, 2015
      • RAUM · $672M to $722M
        Mar 19, 2014 to Mar 31, 2015
      • Accounts · 1 to 5
        May 21, 2013 to Mar 14, 2014
      • Discretionary RAUM · $0 to $1.4M
        May 21, 2013 to Mar 14, 2014
      • Non-discretionary RAUM · $489M to $671M
        May 21, 2013 to Mar 14, 2014
      • RAUM · $489M to $672M
        May 21, 2013 to Mar 14, 2014
      • Accounts · 2 to 1
        Mar 27, 2013 to May 21, 2013
      • Discretionary RAUM · $156M to $0
        Mar 27, 2013 to May 21, 2013
      • RAUM · $645M to $489M
        Mar 27, 2013 to May 21, 2013
      • Accounts · 7 to 2
        Aug 3, 2012 to Mar 27, 2013
      • Advisory employees · unset to 2.0
        Aug 3, 2012 to Mar 27, 2013
      • Employees · unset to 4.0
        Aug 3, 2012 to Mar 27, 2013
      • Discretionary RAUM · $171M to $156M
        Aug 3, 2012 to Mar 27, 2013
      • Non-discretionary RAUM · $665M to $489M
        Aug 3, 2012 to Mar 27, 2013
      • RAUM · $836M to $645M
        Aug 3, 2012 to Mar 27, 2013
      • HQ city · MOUNTAIN VIEW to SANTA CLARA
        Mar 21, 2012 to Aug 3, 2012
      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