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Former SEC-registered adviserFormer SEC adviser· Palo Alto, California

Former SEC-registered adviser, based in Palo Alto, California, reporting $25.0M of regulatory assets.

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

Last reported RAUM
$25.0M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
-100%
Form ADV, consecutive annual filings
Private clients
0.0% of RAUM
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 112531 · SEC 801-57590 · 14 filingsShow
CRD 112531SEC 801-57590First filing on the tape Jan 30, 2012, latest Jan 29, 2018IAPD
RAUM
$25.0M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
0 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$25.0M as of Jan 29, 2018
Jan 30, 2012$12B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jan 29, 2018
Jan 30, 20120 then
Employees (5.A)4 as of Jan 29, 2018
Jan 29, 201312 then
Private funds: no history
RAUM -100% over the last fiscal year-88% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jan 29, 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
unknownderivedHNW RAUM over HNW clients
Average account
$25.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
100%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-100%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
fixed fees, otherreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pension and profit-sharing plans$25.0M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
fixedreported
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•••••• J•••• · Chief Financial Officercontrol
        since 01/2017 · owns less than 5%
      • N•••••• Z••••••• J•• · Presidentcontrol
        since 11/2017 · owns less than 5%
      • N••••••••• M••••••••• C••••••••• · Chief Compliance Officer
        since 10/2016 · owns less than 5%
      Entity owners
      • H• I••• · Owner
        direct · owns 75% or more · public reporting company
      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 · 4 to 1
        Feb 3, 2017 to Jan 29, 2018
      • Advisory employees · 6 to 0
        Feb 3, 2017 to Jan 29, 2018
      • Employees · 10 to 4
        Feb 3, 2017 to Jan 29, 2018
      • Other offices · unset to 1.0
        Feb 3, 2017 to Jan 29, 2018
      • Discretionary RAUM · $33B to $25.0M
        Feb 3, 2017 to Jan 29, 2018
      • Pension RAUM · unset to 25000000.0
        Feb 3, 2017 to Jan 29, 2018
      • RAUM · $33B to $25.0M
        Feb 3, 2017 to Jan 29, 2018
      • Advisory employees · 5 to 6
        Aug 30, 2016 to Dec 20, 2016
      • Employees · 9 to 10
        Aug 30, 2016 to Dec 20, 2016
      • Discretionary RAUM · $33B to $33B
        Aug 30, 2016 to Dec 20, 2016
      • RAUM · $33B to $33B
        Aug 30, 2016 to Dec 20, 2016
      • Advisory employees · 6 to 5
        May 17, 2016 to Aug 29, 2016
      • Employees · 11 to 9
        May 17, 2016 to Aug 29, 2016
      • Discretionary RAUM · $32B to $33B
        Oct 30, 2015 to Jan 28, 2016
      • RAUM · $32B to $33B
        Oct 30, 2015 to Jan 28, 2016
      • Accounts · 2 to 4
        Jan 26, 2015 to Oct 30, 2015
      • Advisory employees · 4 to 6
        Jan 26, 2015 to Oct 30, 2015
      • Employees · 10 to 11
        Jan 26, 2015 to Oct 30, 2015
      • Discretionary RAUM · $13B to $32B
        Jan 26, 2015 to Oct 30, 2015
      • RAUM · $13B to $32B
        Jan 26, 2015 to Oct 30, 2015
      • Advisory employees · 7 to 4
        Feb 4, 2014 to Jan 26, 2015
      • Employees · 13 to 10
        Feb 4, 2014 to Jan 26, 2015
      • Discretionary RAUM · $12B to $13B
        Feb 4, 2014 to Jan 26, 2015
      • RAUM · $12B to $13B
        Feb 4, 2014 to Jan 26, 2015
      • Advisory employees · 8 to 7
        Jan 29, 2013 to Feb 4, 2014
      • Employees · 12 to 13
        Jan 29, 2013 to Feb 4, 2014
      • Financial planning clients · 0 to unset
        Jan 29, 2013 to Feb 4, 2014
      • Discretionary RAUM · $13B to $12B
        Jan 29, 2013 to Feb 4, 2014
      • RAUM · $13B to $12B
        Jan 29, 2013 to Feb 4, 2014
      • Advisory employees · unset to 8.0
        Jul 9, 2012 to Jan 29, 2013
      • Employees · unset to 12.0
        Jul 9, 2012 to Jan 29, 2013
      • Financial planning clients · unset to 0
        Jul 9, 2012 to Jan 29, 2013
      • Discretionary RAUM · $12B to $13B
        Jul 9, 2012 to Jan 29, 2013
      • RAUM · $12B to $13B
        Jul 9, 2012 to Jan 29, 2013
      Signals
      1 dated events
      • ••• Locked
        Jan 29, 2018 · RAUM change · derived
      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