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V•••••••• I••

Former SEC-registered adviserFormer SEC adviser

Former SEC-registered adviser.

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

Last reported RAUM
Not applicable
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
Not applicable
Private clients
Not established
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
What we can say about this record

We hold 19 Form ADV filings for this adviser, the latest 2.1 years ago. It is no longer SEC-registered, so the figures here are its last ones and nothing on this record is current. It is still the right record for resolving this adviser, its filings, owners and affiliates.

Every filed figure, and the identifiersCRD 160138 · SEC 801-73017 · 19 filingsShow
CRD 160138SEC 801-73017First filing on the tape Jan 3, 2012, latest Aug 12, 2024IAPD
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
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM: $226,600
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Dec 8, 2023
Dec 12, 20120 then
Employees (5.A)2 as of Dec 8, 2023
Dec 12, 20123 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Aug 12, 2024; 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
1.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
hourlyreportedItem 5.E
Advisory activities
financial planning, publications, educational seminars, otherreportedItem 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
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
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
      • G••••• S•••••• •••• · Chief Investment Officer And Chief Compliance Officercontrol
        since 10/2011 · owns 25% to 50%
      • R••• O•••••••• •••• · Chief Executive Officercontrol
        since 10/2011 · owns 25% to 50%
      • K••••••••• V••••••••• •••• · Co Founder
        since 10/2011 · owns 10% to 25%
      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 activities · 5 to 4
        Dec 8, 2023 to Aug 12, 2024
      • Financial planning clients · 1-10 to 0
        Dec 10, 2021 to Dec 12, 2022
      • Advisory activities · 4 to 5
        Dec 14, 2016 to Dec 15, 2017
      • Other offices · unset to 0.0
        Dec 14, 2016 to Dec 15, 2017
      • Individual RAUM · unset to 0.0
        Dec 14, 2016 to Dec 15, 2017
      • Accounts · 7.0 to unset
        Dec 2, 2014 to Feb 5, 2015
      • Discretionary RAUM · 0.0 to unset
        Dec 2, 2014 to Feb 5, 2015
      • Non-discretionary RAUM · 226600.0 to unset
        Dec 2, 2014 to Feb 5, 2015
      • RAUM · 226600.0 to unset
        Dec 2, 2014 to Feb 5, 2015
      • Accounts · unset to 7.0
        Dec 11, 2013 to Dec 2, 2014
      • Advisory activities · 3 to 4
        Dec 11, 2013 to Dec 2, 2014
      • Financial planning clients · 0 to 1-10
        Dec 11, 2013 to Dec 2, 2014
      • State-registered IARs · 0 to 2
        Dec 11, 2013 to Dec 2, 2014
      • Discretionary RAUM · unset to 0.0
        Dec 11, 2013 to Dec 2, 2014
      • Non-discretionary RAUM · unset to 226600.0
        Dec 11, 2013 to Dec 2, 2014
      • RAUM · unset to 226600.0
        Dec 11, 2013 to Dec 2, 2014
      • Employees · 3 to 2
        Aug 30, 2013 to Dec 11, 2013
      • Advisory employees · 3 to 2
        Dec 12, 2012 to Aug 30, 2013
      • Advisory employees · unset to 3.0
        Jan 11, 2012 to Dec 7, 2012
      • BD registered reps · unset to 0.0
        Jan 11, 2012 to Dec 7, 2012
      • Employees · unset to 3.0
        Jan 11, 2012 to Dec 7, 2012
      • HQ city · PALO ALTO to unset
        Jan 11, 2012 to Dec 7, 2012
      • HQ state · CA to unset
        Jan 11, 2012 to Dec 7, 2012
      • State-registered IARs · unset to 0.0
        Jan 11, 2012 to Dec 7, 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