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Former SEC-registered adviserFormer SEC adviser· Pasadena, California

Former SEC-registered adviser, based in Pasadena, California, reporting $145M of regulatory assets.

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

As of 2022-04-01 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: $145M
Advisors: Not applicable
Net advisor flow, 12 months: Not applicable
RAUM change, last fiscal year: +20%
Private clients: 91% of RAUM, $131M

Advisors Advisor movement Where the RAUM sits

As of 2022-04-01 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Why this matters

Reported RAUM grew +20% over the last fiscal year, to $145M.
2022-04-01
RAUM a year earlier $120MRAUM now $145M

Every filed figure, and the identifiersCRD 289183 · SEC 801-112015 · 20 filingsShow

CRD 289183SEC 801-112015First filing on the tape Oct 10, 2017, latest Apr 1, 2022IAPD

RAUM

$145M

reported, Item 5.F

Discretionary

92%

of RAUM

Private clients

91%

$131M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

1 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

20 filings and snapshots on the tape

RAUM$145M as of Feb 28, 2022

Mar 13, 2018$90.6M then

HNW client RAUM$107M as of Feb 28, 2022

Mar 13, 2018$43.8M then

State-registered IARs (5.B.3)1 as of Feb 28, 2022

Mar 13, 20180 then

Employees (5.A)2 as of Feb 28, 2022

Mar 13, 20183 then

Private funds: no history

RAUM +20% over the last fiscal year+14% a year over threeIARs 1 to 1

Practice profile

derived from the filing of Apr 1, 2022; every figure names its basis

RAUM per advisor: $145MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 165derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $1.8MderivedHNW RAUM over HNW clients
Average account: $373,937derivedRAUM over accounts (5.F.2.f)
Discretionary: 92%derivedof RAUM
Institutional: 9.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 2.0derivedItem 5.A over advisors
Advisors per office: 1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +20%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: -1.2%derived
Compensation: percentage of assets, hourly, fixed fees, otherreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, pension consulting, selection of other advisers, publicationsreportedItem 5.G
Wrap fee program: $257MreportedItem 5.I
Custody: $131M, 167 clientsreportedItem 9.A
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)
compensates persons for client referrals (8.G.1)
compensates non-employees for client referrals (8.G.2)
has custody of client cash or bank accounts (9.A.1.a)
has custody of client securities (9.A.1.b)

Where the RAUM sits

Form ADV Item 5.D, latest filing

High-net-worth individuals$107M74%
Individuals$24.1M17%
Pension and profit-sharing plans$13.4M9.3%
Corporations and businesses$46,4920.0%

Individual clients: 107reported
HNW clients: 58reported
Pension plan clients: 5reported
Charitable clients: 0reported
Accounts: 387reported
Financial planning clients: 0reported
Wrap fee programs: $128M sponsored, $128M managedreported
Custody of client assets: $131M for 167 clientsreported
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

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

D•••••• S••••••••• A•• · Presidentcontrol
since 03/2004 · owns 75% or more
N••••• D•••••• M•••••• · Chief Compliance Officercontrol
since 01/2019 · 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

Pension plan clients · 4 to 5
Mar 3, 2022 to Apr 1, 2022
Pension RAUM · $12.6M to $13.4M
Mar 3, 2022 to Apr 1, 2022
Commission compensation · true to false
Feb 28, 2022 to Mar 3, 2022
Accounts · 382 to 387
Apr 12, 2021 to Feb 28, 2022
HNW clients · 46 to 58
Apr 12, 2021 to Feb 28, 2022
Individual clients · 121 to 107
Apr 12, 2021 to Feb 28, 2022
Pension plan clients · 5 to 4
Apr 12, 2021 to Feb 28, 2022
Assets in custody · $108M to $131M
Apr 12, 2021 to Feb 28, 2022
Discretionary RAUM · $109M to $133M
Apr 12, 2021 to Feb 28, 2022
HNW RAUM · $81.0M to $107M
Apr 12, 2021 to Feb 28, 2022
Individual RAUM · $26.6M to $24.1M
Apr 12, 2021 to Feb 28, 2022
Non-discretionary RAUM · $11.5M to $12.1M
Apr 12, 2021 to Feb 28, 2022
Pension RAUM · $12.6M to $12.6M
Apr 12, 2021 to Feb 28, 2022
RAUM · $120M to $145M
Apr 12, 2021 to Feb 28, 2022
Wrap assets (manager) · $109M to $128M
Apr 12, 2021 to Feb 28, 2022
Wrap assets (sponsor) · $109M to $128M
Apr 12, 2021 to Feb 28, 2022
Accounts · 373 to 382
Jan 26, 2021 to Mar 2, 2021
HNW clients · 43 to 46
Jan 26, 2021 to Mar 2, 2021
Pension plan clients · 6 to 5
Jan 26, 2021 to Mar 2, 2021
Assets in custody · $63.2M to $108M
Jan 26, 2021 to Mar 2, 2021
Discretionary RAUM · $105M to $109M
Jan 26, 2021 to Mar 2, 2021
HNW RAUM · $75.2M to $81.0M
Jan 26, 2021 to Mar 2, 2021
Individual RAUM · $28.5M to $26.6M
Jan 26, 2021 to Mar 2, 2021
Non-discretionary RAUM · $10.7M to $11.5M
Jan 26, 2021 to Mar 2, 2021
Pension RAUM · $11.6M to $12.6M
Jan 26, 2021 to Mar 2, 2021
RAUM · $115M to $120M
Jan 26, 2021 to Mar 2, 2021
Wrap assets (manager) · $105M to $109M
Jan 26, 2021 to Mar 2, 2021
Wrap assets (sponsor) · $105M to $109M
Jan 26, 2021 to Mar 2, 2021
Advisory activities · 4 to 5
Nov 30, 2020 to Jan 26, 2021
Commission compensation · false to true
Mar 23, 2020 to Apr 29, 2020
Accounts · 361 to 373
Dec 13, 2019 to Feb 26, 2020
Advisory activities · 3 to 4
Dec 13, 2019 to Feb 26, 2020
Charity clients · unset to 0.0
Dec 13, 2019 to Feb 26, 2020
HNW clients · 39 to 43
Dec 13, 2019 to Feb 26, 2020
Pension plan clients · 7 to 6
Dec 13, 2019 to Feb 26, 2020
Pooled vehicle clients · unset to 0.0
Dec 13, 2019 to Feb 26, 2020
Discretionary RAUM · $97.2M to $105M
Dec 13, 2019 to Feb 26, 2020
HNW RAUM · $61.8M to $75.2M
Dec 13, 2019 to Feb 26, 2020
Individual RAUM · $25.2M to $28.5M
Dec 13, 2019 to Feb 26, 2020
Non-discretionary RAUM · $0 to $10.7M
Dec 13, 2019 to Feb 26, 2020

Signals

2 dated events

••• Locked
Mar 29, 2019 · Control person joined · fact
••• Locked
Oct 10, 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.

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