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S••••• I••••••••• M••••••••• I•••

Independent wealth managerSEC-registered· Berkeley, Californiawebsite

Independent wealth manager, based in Berkeley, California, reporting $120M of regulatory assets.

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

Regulatory AUM
$120M
Form ADV
Advisors
0
IAPD
Private clients
100%
of RAUM, $120M
Form ADV
See where advisers wentSee teams that moved
More
AdvisorsWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. No dated change on record yet.

Every filed figure, and the identifiersCRD 110886 · SEC 801-121873 · 11 filingsShow
CRD 110886SEC 801-121873First filing on the tape Apr 3, 2012, latest Apr 1, 2026SEC status approved since Jul 29, 2021IAPD
RAUM
$120M
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
100%
$120M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
Not computed
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
11 filings and snapshots on the tape

RAUM -4.5% a year over three years · the tape starts Apr 3, 2012

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$120M as of Apr 1, 2026
Apr 3, 2012$33.8M then
HNW client RAUM$120M as of Apr 1, 2026
Apr 1, 2022$147M then
State-registered IARs (5.B.3)0 as of Apr 1, 2026
Apr 1, 20222 then
Employees (5.A)3 as of Apr 1, 2026
Apr 1, 20223 then
Private funds: no history
RAUM n/a over the last fiscal year-4.5% a year over three
Practice profile
derived from the filing of Apr 1, 2026; every figure names its basis
The rule behind each archetype, and every derived figureShow
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
$1.0MderivedHNW RAUM over HNW clients
Average account
$1.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
94%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 office 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, otherreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 5.G
Ownership
controlled by a public reporting companyderived
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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing

100% high-net-worth individuals

The breakdown by client type, and the client counts1 client typesShow
  • High-net-worth individuals$120M100%
Individual clients
n/areported
HNW clients
119reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
119reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
RAUM: 100% private clients, 0% pooled funds, 0% institutions; no related broker-dealer; no related bankderived
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Advisors registered through the firm
      0 on IAPD today; the longest tenured first
      No representative is registered through this CRD on IAPD.
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • L••••• T•••••• J••••• · Director/Ownercontrol
        since 01/2015 · owns 50% to 75%
      • S•••••• B••••••• D•••• · President/Ownercontrol
        since 01/1999 · 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 · 117 to 119
        Jan 12, 2026 to Apr 1, 2026
      • HNW clients · 89 to 119
        Jan 12, 2026 to Apr 1, 2026
      • Discretionary RAUM · $102M to $113M
        Jan 12, 2026 to Apr 1, 2026
      • HNW RAUM · $111M to $120M
        Jan 12, 2026 to Apr 1, 2026
      • Non-discretionary RAUM · $8.7M to $6.8M
        Jan 12, 2026 to Apr 1, 2026
      Full history · 54 changes
      • RAUM · $111M to $120M
        Jan 12, 2026 to Apr 1, 2026
      • HQ city · OAKLAND to BERKELEY
        May 23, 2025 to Jan 12, 2026
      • Accounts · 371 to 117
        Apr 1, 2024 to May 23, 2025
      • HNW clients · 95 to 89
        Apr 1, 2024 to May 23, 2025
      • Financial planning clients · unset to
        Apr 1, 2024 to May 23, 2025
      • Discretionary RAUM · $90.8M to $102M
        Apr 1, 2024 to May 23, 2025
      • HNW RAUM · $100M to $111M
        Apr 1, 2024 to May 23, 2025
      • Non-discretionary RAUM · $9.5M to $8.7M
        Apr 1, 2024 to May 23, 2025
      • RAUM · $100M to $111M
        Apr 1, 2024 to May 23, 2025
      • Accounts · 285 to 371
        May 8, 2023 to Apr 1, 2024
      • HNW clients · 132 to 95
        May 8, 2023 to Apr 1, 2024
      • Discretionary RAUM · $104M to $90.8M
        May 8, 2023 to Apr 1, 2024
      • HNW RAUM · $138M to $100M
        May 8, 2023 to Apr 1, 2024
      • Non-discretionary RAUM · $34.0M to $9.5M
        May 8, 2023 to Apr 1, 2024
      • RAUM · $138M to $100M
        May 8, 2023 to Apr 1, 2024
      • Accounts · 142 to 285
        Apr 1, 2022 to Mar 31, 2023
      • Advisory activities · 2 to 1
        Apr 1, 2022 to Mar 31, 2023
      • HNW clients · 142 to 132
        Apr 1, 2022 to Mar 31, 2023
      • State-registered IARs · 2 to 0
        Apr 1, 2022 to Mar 31, 2023
      • Discretionary RAUM · $117M to $104M
        Apr 1, 2022 to Mar 31, 2023
      • HNW RAUM · $147M to $138M
        Apr 1, 2022 to Mar 31, 2023
      • Non-discretionary RAUM · $30.6M to $34.0M
        Apr 1, 2022 to Mar 31, 2023
      • RAUM · $147M to $138M
        Apr 1, 2022 to Mar 31, 2023
      • Corporate clients · 3.0 to unset
        Jun 25, 2021 to Apr 1, 2022
      • HNW clients · 124 to 142
        Jun 25, 2021 to Apr 1, 2022
      • Individual clients · 16.0 to unset
        Jun 25, 2021 to Apr 1, 2022
      • Discretionary RAUM · $113M to $117M
        Jun 25, 2021 to Apr 1, 2022
      • HNW RAUM · $125M to $147M
        Jun 25, 2021 to Apr 1, 2022
      • Individual RAUM · 3455097.0 to unset
        Jun 25, 2021 to Apr 1, 2022
      • Non-discretionary RAUM · $23.0M to $30.6M
        Jun 25, 2021 to Apr 1, 2022
      • RAUM · $136M to $147M
        Jun 25, 2021 to Apr 1, 2022
      • Accounts · 143 to 142
        Aug 31, 2012 to Jun 25, 2021
      • Advisory employees · unset to 2.0
        Aug 31, 2012 to Jun 25, 2021
      • Corporate clients · unset to 3.0
        Aug 31, 2012 to Jun 25, 2021
      • HNW clients · unset to 124.0
        Aug 31, 2012 to Jun 25, 2021
      • Individual clients · unset to 16.0
        Aug 31, 2012 to Jun 25, 2021
      • Employees · unset to 3.0
        Aug 31, 2012 to Jun 25, 2021
      • Financial planning clients · 0 to unset
        Aug 31, 2012 to Jun 25, 2021
      • State-registered IARs · unset to 2.0
        Aug 31, 2012 to Jun 25, 2021
      • Other offices · unset to 0.0
        Aug 31, 2012 to Jun 25, 2021
      • Discretionary RAUM · $25.7M to $113M
        Aug 31, 2012 to Jun 25, 2021
      • HNW RAUM · unset to 125294968.0
        Aug 31, 2012 to Jun 25, 2021
      • Individual RAUM · unset to 3455097.0
        Aug 31, 2012 to Jun 25, 2021
      • Non-discretionary RAUM · $7.5M to $23.0M
        Aug 31, 2012 to Jun 25, 2021
      • RAUM · $33.2M to $136M
        Aug 31, 2012 to Jun 25, 2021
      • Accounts · 172 to 143
        Jun 28, 2012 to Aug 31, 2012
      • Discretionary RAUM · $25.4M to $25.7M
        Jun 28, 2012 to Aug 31, 2012
      • Non-discretionary RAUM · $8.5M to $7.5M
        Jun 28, 2012 to Aug 31, 2012
      • RAUM · $33.8M to $33.2M
        Jun 28, 2012 to Aug 31, 2012
      Signals
      4 dated events
      • ••• Locked
        Apr 1, 2026 · ria ownership band change · fact
      • ••• Locked
        Jan 12, 2026 · ria hq relocated · fact
      • ••• Locked
        Jun 25, 2021 · Control person joined · fact
      • ••• Locked
        Jun 25, 2021 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      How to reach
      public business contact points only, each with its source
      Business email
      ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
      Business phone
      ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
      Business phone
      ••• Lockedreportedpublished by the firm, firm site, Sep 17, 2026
      Website
      ••• Lockedreportedpublic record, Form ADV, Apr 1, 2026
      Principal office phone
      ••• Lockedreportedpublic record, Form ADV, Apr 1, 2026
      Provenance
      Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show
      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
      Independent wealth managerderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      Not computedderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026

      Not yet on record: net advisor flow, 12 months, RAUM change, 1 year.