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RIA Intelligence

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T••• A•••• C•••••• M••••••••• L••

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

Former SEC-registered adviser, based in San Jose, California, reporting $9.7M of regulatory assets.

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

Last reported RAUM
$9.7M
Form ADV
RAUM change, 1 year
-91%
Form ADV, consecutive annual filings
Private clients
0.0%
of RAUM
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. Last change: 5 Feb 2018, RAUM $103M to $9.69M (-90.6%) on the Form ADV filed 5 Feb 2018.

Every filed figure, and the identifiersCRD 229787 · SEC 801-112572 · 9 filingsShow
CRD 229787SEC 801-112572First filing on the tape Jul 30, 2015, latest Feb 5, 2018IAPD
RAUM
$9.7M
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
Not computed
derived; firm RAUM over IAPD count
Employees
6
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape

RAUM -91% over the last fiscal year · the tape starts Jul 30, 2015

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$83.3M as of Mar 16, 2017
Mar 7, 2016$103M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 16, 2017
Mar 7, 20160 then
Employees (5.A)6 as of Mar 16, 2017
Mar 7, 20166 then
Private funds1 as of Mar 16, 2017
Mar 7, 20161 then
RAUM -91% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Feb 5, 2018; 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
unknownderivedHNW RAUM over HNW clients
Average account
$9.7MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%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
-19%derivedbetween 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, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing

100% pooled investment vehicles

The breakdown by client type, and the client counts1 client typesShow
  • Pooled investment vehicles$9.7M100%
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
% of AUM, performancereported
Class basis
absent from the latest SEC rosterderived
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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      T••• A•••• C•••• I••••••••• M••••• F•••• L•••Hedge Fund$83.3M6Jul 30, 2015
      T••• A•••• S••••••••• C•••• M••••• F•••• L•••Hedge Fund$78.1M10Jul 11, 2018
      Owners and control persons
      Schedule A and B, latest filing
      • C••••• M••••• · Member And Member Of The Board Of Advisorscontrol
        since 07/2012 · owns 10% to 25%
      • C••••• W•• P••• · Membercontrol
        since 04/2012 · owns less than 5%
      • C••••••••• L•••• · Managing Member, Chief Compliance Officer, And Chief Technology Officercontrol
        since 07/2010 · owns 10% to 25%
      • H••• A•••••• S••••• · Managing Member And Presidentcontrol
        since 03/2010 · owns 50% to 75%
      • G•••••••• B••••• R••••• · Member Of The Board Of Advisors
        since 12/2012 · owns less than 5%
      All 6 control persons
      • W•••• J••••••••• J•••• · Member
        since 03/2011 · owns 10% to 25%
      Entity owners
      • C•• C•••••• R••• A•••••• L•• · Member
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • S••••••• J••••• I••••••••• A•• C••••••••• L••
        investment adviserbanky
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 3 to 1
        May 24, 2017 to Feb 5, 2018
      • Pooled vehicle clients · unset to 1.0
        May 24, 2017 to Feb 5, 2018
      • Assets in custody · 887000.0 to unset
        May 24, 2017 to Feb 5, 2018
      • Custody of client assets · true to false
        May 24, 2017 to Feb 5, 2018
      • Other offices · unset to 1.0
        May 24, 2017 to Feb 5, 2018
      Full history · 23 changes
      • Private funds · 1 to unset
        May 24, 2017 to Feb 5, 2018
      • Discretionary RAUM · $83.3M to $9.7M
        May 24, 2017 to Feb 5, 2018
      • Pooled vehicle RAUM · unset to 9692788.0
        May 24, 2017 to Feb 5, 2018
      • RAUM · $83.3M to $9.7M
        May 24, 2017 to Feb 5, 2018
      • Assets in custody · $1.0M to $887,000
        Apr 28, 2016 to Mar 16, 2017
      • Discretionary RAUM · $103M to $83.3M
        Apr 28, 2016 to Mar 16, 2017
      • RAUM · $103M to $83.3M
        Apr 28, 2016 to Mar 16, 2017
      • Accounts · 2 to 3
        Dec 4, 2015 to Mar 7, 2016
      • Assets in custody · unset to 1000000.0
        Dec 4, 2015 to Mar 7, 2016
      • Custody of client assets · false to true
        Dec 4, 2015 to Mar 7, 2016
      • Employees · 5 to 6
        Dec 4, 2015 to Mar 7, 2016
      • Discretionary RAUM · $106M to $103M
        Dec 4, 2015 to Mar 7, 2016
      • RAUM · $106M to $103M
        Dec 4, 2015 to Mar 7, 2016
      • Accounts · 0 to 2
        Jul 30, 2015 to Dec 4, 2015
      • Advisory employees · 3 to 2
        Jul 30, 2015 to Dec 4, 2015
      • Employees · 6 to 5
        Jul 30, 2015 to Dec 4, 2015
      • Discretionary RAUM · $0 to $106M
        Jul 30, 2015 to Dec 4, 2015
      • RAUM · $0 to $106M
        Jul 30, 2015 to Dec 4, 2015
      Signals
      2 dated events
      • ••• Locked
        Jul 11, 2018 · ria registration change · fact
      • ••• Locked
        Jul 30, 2015 · 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
      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
      Former SEC-registered adviserderiveda 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