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E•••• S••••••••• L••

Other adviserSEC-registered· Sacramento, Californiawebsite

Other adviser, based in Sacramento, California, reporting $123M of regulatory assets.

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

Regulatory AUM
$123M
Form ADV
Advisors
0
IAPD
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. No dated change on record yet.

Every filed figure, and the identifiersCRD 333167 · SEC 801-131410 · 7 filingsShow
CRD 333167SEC 801-131410First filing on the tape Oct 3, 2024, latest Mar 27, 2026SEC status approved since Dec 2, 2024IAPD
RAUM
$123M
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
4
1 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape

Filed figures over time · the tape starts Oct 3, 2024

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$123M as of Mar 27, 2026
Feb 21, 2025$0 then
HNW client RAUM$0 as of Mar 27, 2026
Feb 21, 2025$0 then
State-registered IARs (5.B.3)1 as of Mar 27, 2026
Feb 21, 20251 then
Employees (5.A)4 as of Mar 27, 2026
Feb 21, 20252 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes
The rule behind each archetype, and every derived figure1 ruleShow
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office, and at most 25 employees (Item 5.A)
RAUM per advisor
$123MderivedRAUM 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
$851,747derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
4.0derivedItem 5.A over advisors
Advisors per office
0.3derived3 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Wrap fee program
participatesreportedItem 5.I
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
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing

100% corporations and businesses

The breakdown by client type, and the client counts1 client typesShow
  • Corporations and businesses$123M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
144reported
Financial planning clients
0reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
RAUM: 0% private clients, 0% pooled funds, 0% institutions; no related broker-dealer; no related bank; 100% of advisors also broker-dealer representativesderived
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
      • B•••••• R•••••• K•••• · Ceocontrol
        since 08/2024 · owns less than 5%
      • B•••••• R•••••• K•••• · S••• M••••• O• E•••• S••••••••• L••control
        since 08/2024 · owns 75% or more of E•••• S••••••••• L••
      • P••••• J••••••• M••••••• · Cco
        since 09/2024 · owns less than 5%
      Entity owners
      • E•••• S••••••••• L•• · Owner
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • San Francisco, CA
      • ,
      What changed
      consecutive filings, newest first
      • Accounts · 193 to 144
        Sep 30, 2025 to Mar 27, 2026
      • Corporate clients · 193 to 144
        Sep 30, 2025 to Mar 27, 2026
      • Employees · 2 to 4
        Sep 30, 2025 to Mar 27, 2026
      • Discretionary RAUM · $0 to $123M
        Sep 30, 2025 to Mar 27, 2026
      • Non-discretionary RAUM · $120M to $0
        Sep 30, 2025 to Mar 27, 2026
      Full history · 15 changes
      • RAUM · $120M to $123M
        Sep 30, 2025 to Mar 27, 2026
      • Accounts · 2 to 193
        Jun 9, 2025 to Sep 30, 2025
      • Corporate clients · unset to 193.0
        Jun 9, 2025 to Sep 30, 2025
      • Financial planning clients · 0 to 0
        Jun 9, 2025 to Sep 30, 2025
      • Non-discretionary RAUM · $17.4M to $120M
        Jun 9, 2025 to Sep 30, 2025
      • RAUM · $17.4M to $120M
        Jun 9, 2025 to Sep 30, 2025
      • Accounts · 0 to 2
        Mar 28, 2025 to Jun 9, 2025
      • Non-discretionary RAUM · $0 to $17.4M
        Mar 28, 2025 to Jun 9, 2025
      • RAUM · $0 to $17.4M
        Mar 28, 2025 to Jun 9, 2025
      • Advisory activities · 4 to 2
        Feb 21, 2025 to Mar 28, 2025
      Signals
      3 dated events
      • ••• Locked
        Mar 27, 2026 · ria principal change · derived
      • ••• Locked
        Mar 27, 2026 · ria principal change · fact
      • ••• Locked
        Oct 3, 2024 · 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, Mar 27, 2026
      Principal office phone
      ••• Lockedreportedpublic record, Form ADV, Mar 27, 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
      Other 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

      Not yet on record: net advisor flow, 12 months, RAUM change, 1 year.