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Former SEC-registered adviserFormer SEC adviser· San Jose, California

Former SEC-registered adviser, based in San Jose, California, reporting $155M of regulatory assets.

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

Last reported RAUM
$155M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
+12%
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
What we can say about this record

We hold 6 Form ADV filings for this adviser, the latest 9.5 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 173951 · SEC 801-80763 · 6 filingsShow
CRD 173951SEC 801-80763First filing on the tape Dec 12, 2014, latest Apr 18, 2017IAPD
RAUM
$155M
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
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$155M as of Feb 28, 2017
Mar 24, 2016$138M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Feb 28, 2017
Mar 24, 20162 then
Employees (5.A)4 as of Feb 28, 2017
Mar 24, 20164 then
Private funds: no history
RAUM +12% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Apr 18, 2017; every figure names its basis
RAUM per advisor
$77.3MderivedRAUM 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
$219,332derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+12%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
  • 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)
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
705reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, 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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • F•••••••• T•••• C•••••••• · Owner & Chief Compliance Officercontrol
    since 01/2015 · owns 25% to 50%
  • N•••••• P•••••• · Presidentcontrol
    since 01/2015 · 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 · 686 to 705
    Mar 24, 2016 to Feb 28, 2017
  • Discretionary RAUM · $138M to $155M
    Mar 24, 2016 to Feb 28, 2017
  • RAUM · $138M to $155M
    Mar 24, 2016 to Feb 28, 2017
  • Accounts · 373 to 686
    Apr 8, 2015 to Mar 24, 2016
  • Employees · 2 to 4
    Apr 8, 2015 to Mar 24, 2016
  • Discretionary RAUM · $139M to $138M
    Apr 8, 2015 to Mar 24, 2016
  • RAUM · $139M to $138M
    Apr 8, 2015 to Mar 24, 2016
  • Accounts · 0 to 373
    Jan 9, 2015 to Apr 8, 2015
  • Discretionary RAUM · $0 to $139M
    Jan 9, 2015 to Apr 8, 2015
  • RAUM · $0 to $139M
    Jan 9, 2015 to Apr 8, 2015
Signals
1 dated events
  • ••• Locked
    Dec 12, 2014 · 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.
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