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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

FUNDX INVESTMENT GROUP, LLC

CRD 109194

SAN FRANCISCO, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:04d2ce91-a85a-ceaa-8cf7-4d8dd932e1a4

Data as of Mar 29, 2021 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 2:09 PM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 7
On other graphs: 0
Observed: Nov 30, 2011 to Mar 29, 2021
33 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $893MItem 5.F on the latest filing (2021-03-29); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $893M
Private client RAUM: $394MderivedItem 5.D individuals plus high net worth individuals
Private client share: 44%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 14
Advisory employees: 5
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 616
Individual clients: 106
High net worth clients: 179
Custody, client assets: $333M
SEC number: 801-54793
CRD: 109194
Filings on the tape: 33
First filed: Nov 30, 2011
Latest filed: Mar 29, 2021
Organised: Limited Liability Company, California

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
BROWN, JANET, MARIE	MEMBER/CHIEF EXECUTIVE OFFICER	C	yes	07/1997	Nov 30, 2011	Mar 29, 2021
DEVAULT, MARTIN, RICHARD	Member	B	yes	07/1997	Nov 30, 2011	Mar 29, 2021
MCKEON, SEAN	MEMBER/CHIEF COMPLIANCE OFFICER	A	yes	10/2015	Nov 30, 2011	Mar 29, 2021
SMITH, JEFFREY, CHARLES	MEMBER/CHIEF OPERATING OFFICER	A	yes	01/2014	Nov 30, 2011	Mar 29, 2021
COYNE, THOMAS, FRANCIS	Member	A	no	07/1997	Nov 30, 2011	Mar 29, 2021
ENSLOW, JENNIFER, DIANE	Member	B	no	03/2017	Mar 31, 2017	Mar 29, 2021

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2020	Mar 29, 2021	$893M	$893M	14	5	0	n/a	n/a
2019	Mar 30, 2020	$858M	$858M	15	5	0	n/a	n/a
2018	Mar 29, 2019	$810M	$810M	18	8	0	n/a	n/a
2017	Mar 26, 2018	$882M	$882M	19	10	0	n/a	n/a
2016	Mar 31, 2017	$868M	$868M	18	10	n/a	n/a	n/a
2015	Feb 2, 2016	$914M	$914M	17	10	n/a	n/a	n/a
2014	Feb 12, 2015	$403M	$403M	17	10	n/a	n/a	n/a
2013	Jan 17, 2014	$976M	$976M	17	8	n/a	n/a	n/a
2012	Mar 26, 2013	$869M	$869M	17	8	n/a	n/a	n/a
2011	Jan 18, 2012	$927M	$914M	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2020	$893M	$858M	4.2%	$882M	0.4%	14	15	0	0

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
ONE CAPITAL MANAGEMENT, LLC	5	May 3, 2022	May 2, 2022	SAN FRANCISCO, CA	Firm absorbed	RIA to RIA	100.0%

Relationships

Controls (4)

← MCKEON, SEANOwnerMEMBER/CHIEF COMPLIANCE OFFICER, ownership code A, individual
Nov 30, 2011 to presentfactForm ADV
← DEVAULT, MARTIN, RICHARDOwnerMEMBER, ownership code B, individual
Nov 30, 2011 to presentfactForm ADV
← SMITH, JEFFREY, CHARLESOwnerMEMBER/CHIEF OPERATING OFFICER, ownership code A, individual
Nov 30, 2011 to presentfactForm ADV
← BROWN, JANET, MARIEOwnerMEMBER/CHIEF EXECUTIVE OFFICER, ownership code C, individual
Nov 30, 2011 to presentfactForm ADV

Owns (2)

← COYNE, THOMAS, FRANCISOwnerMEMBER, ownership code A, individual
Nov 30, 2011 to presentfactForm ADV
← ENSLOW, JENNIFER, DIANEOwnerMEMBER, ownership code B, individual
Mar 31, 2017 to presentfactForm ADV

Registered with (6)

← DANIEL VICTOR COZANOAdvisorregistration: previous registration
Sep 20, 2017 to May 4, 2022factForm ADV
← SEAN MCKEONAdvisorregistration: previous registration
May 1, 2006 to May 3, 2022factForm ADV
← MARTIN RICHARD DEVAULTAdvisorregistration: previous registration
Jul 8, 1997 to May 3, 2022factForm ADV
← ROHAN RAMESH NAYAKAdvisorregistration: previous registration
Nov 19, 2019 to May 3, 2022factForm ADV
← JANET MARIE BROWNAdvisorregistration: previous registration
Jul 8, 1997 to May 3, 2022factForm ADV
← JASON WILLIAM BROWNEAdvisorregistration: previous registration
Jul 30, 2003 to May 1, 2019factForm ADV

Moved with (1)

→ ONE CAPITAL MANAGEMENT, LLCRegistered adviser5 advisors, firm absorbed
May 3, 2022 to May 2, 2022factForm ADV

Dated events

Occurred
May 4, 2022
Advisor changed firm
Daniel Victor Cozano left Fundx Investment Group, Llc for One Capital Management, Llc (registered 2022-05-02)
Form ADVobserved 4 days ago
Occurred
May 3, 2022
Firm absorbed
Fundx Investment Group, LLC's advisors moved to One Capital Management, LLC (San Francisco, CA): 5 of 5 registered, a day apart
Form ADVobserved 4 days ago
5 advisors
Occurred
May 3, 2022
Advisor changed firm
Rohan Ramesh Nayak left Fundx Investment Group, Llc for One Capital Management, Llc (registered 2022-05-02)
Form ADVobserved 4 days ago
Occurred
May 3, 2022
Advisor changed firm
Martin Richard Devault left Fundx Investment Group, Llc for One Capital Management, Llc (registered 2022-05-02)
Form ADVobserved 4 days ago
Occurred
May 3, 2022
Advisor changed firm
Janet Marie Brown left Fundx Investment Group, Llc for One Capital Management, Llc (registered 2022-05-02)
Form ADVobserved 4 days ago
Occurred
May 3, 2022
Advisor changed firm
Sean Mckeon left Fundx Investment Group, Llc for One Capital Management, Llc (registered 2022-05-02)
Form ADVobserved 4 days ago
Occurred
Mar 30, 2020
Control person left
Walter Bernard Burke (Member) no longer on Schedule A of Fundx Investment Group, Llc (listed 2019-09-16, absent 2020-03-30)
Form ADVobserved 4 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:04d2ce91-a85a-ceaa-8cf7-4d8dd932e1a4
First observed: Nov 30, 2011
Last observed: Mar 29, 2021 66 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

FUNDX INVESTMENT GROUP, LLC

CRD 109194

SAN FRANCISCO, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:04d2ce91-a85a-ceaa-8cf7-4d8dd932e1a4

Data as of Mar 29, 2021 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 2:09 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BROWN, JANET, MARIE

MEMBER/CHIEF EXECUTIVE OFFICER

yes

07/1997

Nov 30, 2011

Mar 29, 2021

DEVAULT, MARTIN, RICHARD

Member

yes

07/1997

Nov 30, 2011

Mar 29, 2021

MCKEON, SEAN

MEMBER/CHIEF COMPLIANCE OFFICER

yes

10/2015

Nov 30, 2011

Mar 29, 2021

SMITH, JEFFREY, CHARLES

MEMBER/CHIEF OPERATING OFFICER

yes

01/2014

Nov 30, 2011

Mar 29, 2021

COYNE, THOMAS, FRANCIS

Member

07/1997

Nov 30, 2011

Mar 29, 2021

ENSLOW, JENNIFER, DIANE

Member

03/2017

Mar 31, 2017

Mar 29, 2021

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2020

Mar 29, 2021

$893M

n/a

2019

Mar 30, 2020

$858M

n/a

2018

Mar 29, 2019

$810M

n/a

2017

Mar 26, 2018

$882M

n/a

2016

Mar 31, 2017

$868M

n/a

2015

Feb 2, 2016

$914M

n/a

2014

Feb 12, 2015

$403M

n/a

2013

Jan 17, 2014

$976M

n/a

2012

Mar 26, 2013

$869M

n/a

2011

Jan 18, 2012

$927M

$914M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2020

$893M

$858M

4.2%

$882M

0.4%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

ONE CAPITAL MANAGEMENT, LLC

May 3, 2022

May 2, 2022

SAN FRANCISCO, CA

Firm absorbed

RIA to RIA

100.0%