DFX Intelligence

O•• D••••• A•••••••• I•••: registered adviser on the ria / wealth management graph | DFX Data Factory

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

O•• D••••• A•••••••• I•••

CRD 170392

SAN DIEGO, 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:2ae5d41c-151b-707f-9ee7-6cbc5fb2864e

Data as of Sep 10, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:28 AM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 3
On other graphs: 0
Observed: Mar 6, 2014 to Sep 10, 2026
35 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: independent wealth managerderivedprivate_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd= related_bank= bd_reps=0.0
Regulatory AUM: $489M••• Locked
Discretionary RAUM: $489M
Private client RAUM: $480Mderived••• Locked
Private client share: 98%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 7
RAUM per advisor: $69.9Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
J••••• A•••• T•••••••	Certified Financial Planner	SAN DIEGO, CA	5	28	2	no
P••••• J••• R••••	Certified Financial Planner	SAN DIEGO, CA	1	11	n/a

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
S•••••• A••••••• L•••••••	CHIEF COMPLIANCE OFFICER	C	yes	07/2024	Apr 30, 2014	Oct 16, 2024
T•••••••• J•••••• A••••	FOUNDER/FINANCIAL ADVISOR	C	yes	04/2014	Apr 30, 2014	Oct 16, 2024

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	2	0

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$489M	$342M	43.2%	$277M	20.9%	6	7	0	0

Relationships

Registered with (8)

← K••• H•••• K••••Advisorregistration: current employment
Aug 4, 2026 to presentfactForm ADV
← J•••• J••••• T•••••••Advisorregistration: current employment
Jul 9, 2025 to presentfactForm ADV
← M•••••• S••••• C•••••••Advisorregistration: current employment
May 28, 2025 to presentfactForm ADV
← A•••••• L••••••• S•••••

Dated events

Occurred
Mar 9, 2026
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$147M
Occurred
Apr 20, 2023
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 6, 2014
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2ae5d41c-151b-707f-9ee7-6cbc5fb2864e
First observed: Mar 6, 2014
Last observed: Sep 10, 2026 13 days 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.