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Asset manager (funds and pooled vehicles)SEC-registered· Sausalito, Californiawebsite

Asset manager (funds and pooled vehicles), based in Sausalito, California, reporting $464M of regulatory assets.

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

Regulatory AUM
$464M
Form ADV
Advisors
0
IAPD
RAUM change, 1 year
+13%
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: 28 Jan 2026, RAUM $413M to $464M (+12.5%) on the Form ADV filed 28 Jan 2026.

Every filed figure, and the identifiersCRD 288445 · SEC 801-110846 · 17 filingsShow
CRD 288445SEC 801-110846First filing on the tape Jun 20, 2017, latest Jan 28, 2026SEC status approved since Jul 21, 2017IAPD
RAUM
$464M
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
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape

RAUM +39% a year over three years · the tape starts Jun 20, 2017

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$464M as of Jan 28, 2026
Mar 2, 2018$4.2M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jan 28, 2026
Mar 2, 20180 then
Employees (5.A)2 as of Jan 28, 2026
Mar 2, 20182 then
Private funds: no history
RAUM +13% over the last fiscal year+39% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jan 28, 2026; 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
$232MderivedRAUM 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
unknownderived1 office incl. principal (1.F.5)
RAUM growth, one year
+13%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 assetsreportedItem 5.E
Advisory activities
portfolio management for pooled vehicles, portfolio management for investment companies, educational seminarsreportedItem 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

98% investment companies, 1.8% pooled investment vehicles

The breakdown by client type, and the client counts2 client typesShow
  • Investment companies$456M98%
  • Pooled investment vehicles$8.4M1.8%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
2reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
RAUM: 0% private clients, 100% pooled funds, 0% institutions; no related broker-dealer; no related bankderived
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • A••••• S•••••• C•••• · Managing Membercontrol
        since 04/2017 · owns 25% to 50%
      • A••••• S••••• J•••••• · Managing Membercontrol
        since 04/2017 · owns 25% to 50%
      • M••••• D•••••• R•••••• · Chief Compliance Officercontrol
        since 02/2023 · 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.
      ADV anomalies
      1 against comparable advisers; where to look, not conclusions
      • business activity changedChange between filings · filing Jan 28, 2026
        portfolio management for pooled vehicles (Item 5.G.4): no on the filing of 2025-02-10, yes on the filing of 2026-01-28
        peers: asset managers, $100M to $500M (1,568)
      How anomalies are measured
      What changed
      consecutive filings, newest first
      • Accounts · 1 to 2
        Feb 10, 2025 to Jan 28, 2026
      • Advisory activities · 2 to 3
        Feb 10, 2025 to Jan 28, 2026
      • Pooled vehicle clients · 0 to 1
        Feb 10, 2025 to Jan 28, 2026
      • Discretionary RAUM · $413M to $464M
        Feb 10, 2025 to Jan 28, 2026
      • Pooled vehicle RAUM · unset to 8360838.0
        Feb 10, 2025 to Jan 28, 2026
      Full history · 41 changes
      • RAUM · $413M to $464M
        Feb 10, 2025 to Jan 28, 2026
      • Financial planning clients · unset to
        Jan 10, 2024 to Feb 10, 2025
      • Discretionary RAUM · $349M to $413M
        Jan 10, 2024 to Feb 10, 2025
      • RAUM · $349M to $413M
        Jan 10, 2024 to Feb 10, 2025
      • Discretionary RAUM · $174M to $349M
        Mar 23, 2023 to Jan 10, 2024
      • RAUM · $174M to $349M
        Mar 23, 2023 to Jan 10, 2024
      • Discretionary RAUM · $176M to $174M
        Mar 29, 2022 to Mar 23, 2023
      • RAUM · $176M to $174M
        Mar 29, 2022 to Mar 23, 2023
      • Financial planning clients · 0 to unset
        Jul 29, 2021 to Mar 29, 2022
      • Other offices · 1 to 0
        Jul 29, 2021 to Mar 29, 2022
      • Discretionary RAUM · $83.6M to $176M
        Jul 29, 2021 to Mar 29, 2022
      • RAUM · $83.6M to $176M
        Jul 29, 2021 to Mar 29, 2022
      • Advisory activities · 1 to 2
        Dec 8, 2020 to Feb 5, 2021
      • Discretionary RAUM · $41.3M to $83.6M
        Dec 8, 2020 to Feb 5, 2021
      • RAUM · $41.3M to $83.6M
        Dec 8, 2020 to Feb 5, 2021
      • Other offices · 0 to 1
        Jan 29, 2020 to Dec 8, 2020
      • Other offices · 1 to 0
        Aug 26, 2019 to Jan 29, 2020
      • Discretionary RAUM · $16.1M to $41.3M
        Aug 26, 2019 to Jan 29, 2020
      • RAUM · $16.1M to $41.3M
        Aug 26, 2019 to Jan 29, 2020
      • Discretionary RAUM · $4.2M to $16.1M
        Mar 2, 2018 to Mar 15, 2019
      • RAUM · $4.2M to $16.1M
        Mar 2, 2018 to Mar 15, 2019
      • HQ city · unset to SAUSALITO
        Nov 21, 2017 to Mar 2, 2018
      • HQ state · unset to CA
        Nov 21, 2017 to Mar 2, 2018
      • Discretionary RAUM · $0 to $4.2M
        Nov 21, 2017 to Mar 2, 2018
      • Non-discretionary RAUM · $3.1M to $0
        Nov 21, 2017 to Mar 2, 2018
      • RAUM · $3.1M to $4.2M
        Nov 21, 2017 to Mar 2, 2018
      • Accounts · 0 to 1
        Sep 8, 2017 to Nov 20, 2017
      • Charity clients · unset to 0.0
        Sep 8, 2017 to Nov 20, 2017
      • Corporate clients · unset to 0.0
        Sep 8, 2017 to Nov 20, 2017
      • HNW clients · unset to 0.0
        Sep 8, 2017 to Nov 20, 2017
      • Individual clients · unset to 0.0
        Sep 8, 2017 to Nov 20, 2017
      • Pension plan clients · unset to 0.0
        Sep 8, 2017 to Nov 20, 2017
      • Pooled vehicle clients · unset to 0.0
        Sep 8, 2017 to Nov 20, 2017
      • Other offices · unset to 1.0
        Sep 8, 2017 to Nov 20, 2017
      • Non-discretionary RAUM · $0 to $3.1M
        Sep 8, 2017 to Nov 20, 2017
      • RAUM · $0 to $3.1M
        Sep 8, 2017 to Nov 20, 2017
      Signals
      6 dated events
      • ••• Locked
        Jan 10, 2024 · RAUM change · derived
      • ••• Locked
        Mar 23, 2023 · Control person joined · fact
      • ••• Locked
        Jan 29, 2020 · Control person left · inference
      • ••• Locked
        Aug 26, 2019 · Control person joined · fact
      • ••• Locked
        Aug 26, 2019 · Control person left · inference
      Full timeline · 6 events
      • ••• Locked
        Jun 20, 2017 · 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.
      How to reach
      public business contact points only, each with its source
      Website
      ••• Lockedreportedpublic record, Form ADV, Jan 28, 2026
      Principal office phone
      ••• Lockedreportedpublic record, Form ADV, Jan 28, 2026
      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
      Asset manager (funds and pooled vehicles)deriveda 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

      Not yet on record: net advisor flow, 12 months.