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Former SEC-registered adviser

S•••••••• I••••••••• S•••••••• I•••

Former SEC-registered adviserSan Francisco, CaliforniaCRD 114125SEC 801-45978IAPD
Latest filing Dec 4, 2015
First filing on the tape Mar 5, 2012 · 8 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
26
25 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 3, 2015
Mar 5, 20120 then
Employees (5.A)26 as of Feb 3, 2015
Mar 19, 201329 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Dec 4, 2015; 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
hourly, fixed feesreportedItem 5.E
Advisory activities
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
  • receives research or other products from a broker-dealer, soft dollars (8.E)
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
26-50reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
fixed, hourlyreported
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
      • D•••••• B••••• W••••• · Chairman And Ceocontrol
        since 02/2012 · owns 25% to 50%
      • B••••• J••••••• · Senior Vice President
        since 08/2014 · owns less than 5%
      • C•••••••• E••••••• · Vice President And Secretary
        since 01/1997 · owns less than 5%
      • G•••••• M••••• · Vice President
        since 09/2004 · owns less than 5%
      • H••••••• S•••••• C•••• · Senior Vice President
        since 01/2002 · owns less than 5%
      • J•••••••• M•••••••• S•••• · Managing Director
        since 09/2014 · owns less than 5%
      • K••••••••• L••• · Vice President
        since 07/2007 · owns less than 5%
      • M••••• J•••• P••• · Chief Financial Officer
        since 02/2012 · owns 10% to 25%
      • N•••••••• J•••• A•••••• · Managing Director
        since 02/2013 · owns less than 5%
      • Q••••• S••••••• G•••••• · Vice President
        since 09/2012 · owns less than 5%
      • S••••••••• N•••••••• L••••• · Trustee, Sis Employee Stock Ownership Plan
        since 01/2011 · owns 25% to 50%
      • S••••••••• F•••• · Managing Director
        since 08/2014 · owns less than 5%
      • S••••• C•••••• N•••• · Chief Compliance Officer And Senior Vp
        since 10/2011 · owns less than 5%
      • W•••• A•••• K•••••• · Managing Director
        since 08/2014 · owns less than 5%
      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
      • Advisory employees · 26 to 25
        Oct 2, 2014 to Feb 3, 2015
      • Employees · 27 to 26
        Oct 2, 2014 to Feb 3, 2015
      • Advisory employees · 28 to 26
        Feb 14, 2014 to Sep 25, 2014
      • Employees · 29 to 27
        Feb 14, 2014 to Sep 25, 2014
      • Advisory employees · 27 to 28
        Mar 19, 2013 to Feb 14, 2014
      • Advisory employees · unset to 27.0
        Sep 11, 2012 to Mar 19, 2013
      • Employees · unset to 29.0
        Sep 11, 2012 to Mar 19, 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