DFX Intelligence

J•••••• I••••••••• M••••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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

J•••••• I••••••••• M••••••••• L••

CRD 145005

SAN RAFAEL, CA

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Search this name across graphsid dfx:ria:529077ab-181f-592b-974b-26ece2f30db9

Data as of Dec 9, 2022 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:47 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 2
On other graphs: 2
Observed: Feb 15, 2012 to Dec 9, 2022
19 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Allocatorsidentity

J•••••• I••••••••• M••••••••• L••

Investment consultant · shared crd

RIA / Wealth Managementidentity

J•••••• I••••••••• M••••••••• L••

Registered adviser · shared crd

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: $597M••• Locked
Discretionary RAUM: $69.8M
Private client RAUM: $17.6Mderived••• Locked
Private client share: 3%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 2

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
H••••••••• L••	Owner	E	yes	09/2022	Nov 29, 2022	Dec 9, 2022
H• S••••• H•••••••• I•••	Owner	C	yes	09/2022	Nov 29, 2022	Dec 9, 2022
J••••••• N•••••••• A••••

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Boulder	Co	United States	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2021

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2021	$597M	$518M	15.2%	$334M	21.3%	2	2	1	1

Relationships

Controls (8)

← J••••••• N•••••••• A••••OwnerVICE CHAIRMAN, VICE PRESIDENT, SECRETARY, ownership code NA, individual
Feb 15, 2012 to presentfactForm ADV
← J••••••• R•••••• A•OwnerCHAIRMAN, PRESIDENT, CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Feb 15, 2012 to presentfactForm ADV
← H••••••••• L••OwnerOWNER, ownership code E, domestic entity
Nov 29, 2022 to presentfactForm ADV
← H• S••••• H•••••••• I•••OwnerOWNER, ownership code C, domestic entity
Nov 29, 2022 to present

Dated events

Occurred
Nov 29, 2022
Succession filed (Item 4)
••• Locked
Form ADVobserved 8 days ago
Occurred
Feb 10, 2020
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$107M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:529077ab-181f-592b-974b-26ece2f30db9
First observed: Feb 15, 2012
Last observed: Dec 9, 2022 46 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.