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

Former SEC-registered adviser, based in San Mateo, California.

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

As of 2023-08-09 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

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

Advisors Advisor movement Where the RAUM sits

As of 2023-08-09 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What we can say about this record

We hold 11 Form ADV filings for this adviser, the latest 3.2 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 314500 · SEC 801-121500 · 11 filingsShow

CRD 314500SEC 801-121500First filing on the tape May 14, 2021, latest Aug 9, 2023IAPD

RAUM

n/a

reported, Item 5.F

Discretionary

n/a

of RAUM

Private clients

n/a

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

0 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

11 filings and snapshots on the tape

RAUM: no history

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Jan 3, 2023

Feb 15, 20220 then

Employees (5.A)1 as of Jan 3, 2023

Feb 15, 20221 then

Private funds: no history

RAUM n/a over the last fiscal yearIARs 0 to 0

Practice profile

derived from the filing of Aug 9, 2023; 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: unknownderivedItem 5.A over advisors
Advisors per office: unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year: unknownderivedbetween 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, otherreportedItem 5.E
Advisory activities: portfolio management for individualsreportedItem 5.G
Ownership: controlled by a public reporting companyderived
Advisor book size: not public; not estimatedreported

Also answered yes on Form ADV

controlled by a public reporting company (10.A)

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: 0reported
HNW clients: 0reported
Pension plan clients: 0reported
Charitable clients: 0reported
Accounts: n/areported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUMreported
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

V••••••••• S••••••••• · Managing Member & Chief Compliance Officercontrol
since 04/2020 · owns 75% or more

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

San Mateo, CA

What changed

consecutive filings, newest first

HQ city · unset to SAN MATEO
Feb 15, 2022 to Jan 3, 2023
HQ state · unset to CA
Feb 15, 2022 to Jan 3, 2023
Accounts · 0.0 to unset
Jan 7, 2022 to Feb 15, 2022
Advisory employees · 1 to 0
Jan 7, 2022 to Feb 15, 2022
Charity clients · unset to 0.0
Jan 7, 2022 to Feb 15, 2022
Corporate clients · unset to 0.0
Jan 7, 2022 to Feb 15, 2022
HNW clients · unset to 0.0
Jan 7, 2022 to Feb 15, 2022
Individual clients · unset to 0.0
Jan 7, 2022 to Feb 15, 2022
Pension plan clients · unset to 0.0
Jan 7, 2022 to Feb 15, 2022
Pooled vehicle clients · unset to 0.0
Jan 7, 2022 to Feb 15, 2022
Employees · 2 to 1
Jan 7, 2022 to Feb 15, 2022
Financial planning clients · unset to 0
Jan 7, 2022 to Feb 15, 2022
Discretionary RAUM · 0.0 to unset
Jan 7, 2022 to Feb 15, 2022
Non-discretionary RAUM · 0.0 to unset
Jan 7, 2022 to Feb 15, 2022
RAUM · 0.0 to unset
Jan 7, 2022 to Feb 15, 2022
HQ city · SAN MATEO to unset
May 14, 2021 to May 25, 2021
HQ state · CA to unset
May 14, 2021 to May 25, 2021
Other offices · 0 to 1
May 14, 2021 to May 25, 2021

Signals

1 dated events

••• Locked
May 14, 2021 · 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