DFX Intelligence

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

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RIA / WealthRegistered adviserIndependent wealth managerSEC registeredRAUM 100m 1b

N•••• W••••• M••••••••• I•••

CRD 169963

NEWPORT BEACH, CA

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Data as of Mar 30, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:51 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 3
On other graphs: 0
Observed: Oct 14, 2016 to Mar 30, 2026
22 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=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=2.0
Regulatory AUM: $223M••• Locked
Discretionary RAUM: $216M
Private client RAUM: $223Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $74.5Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
A••• J••••• S••••••	Certified Financial Planner	NEWPORT BEACH, CA	12	37	4	yes
D••••• D•••••	n/a	NEWPORT BEACH, CA	12	39

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
S••••••• A•••• J•••••	P•••IDENT	E	yes	12/2013	Oct 14, 2016	Mar 28, 2024
D••••••••• A••••••• J•••••	CHIEF COMPLIANCE OFFICER	Na	no	07/2014	Oct 14, 2016	Mar 28, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A••• S•••••• R••• E•••••	n/a	n/a	n/a	N	yes	n/a
N•••• T•• S•••••••••	n/a	n/a	n/a	N	yes	n/a
P••• 5•• M•••• L••	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
ALISO VIEJO	CA	United States	2	yes

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	0	1

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	$223M	$213M	5.0%	$157M	12.6%	6	7	1	1

Relationships

Registered with (5)

← J•••••• L••• K•••••Advisorregistration: current employment
Apr 30, 2024 to presentfactForm ADV
← A••• J••••• S••••••Advisorregistration: current employment
Feb 25, 2014 to presentfactForm ADV
← D••••• D•••••Advisorregistration: current employment
Feb 25, 2014 to presentfactForm ADV
← A•••••• J••••• D••••••••

Dated events

Occurred
Mar 30, 2026
Ria principal change
••• Locked
Form ADVobserved today
Occurred
Jul 15, 2025
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Oct 14, 2016
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Oct 14, 2016
Last observed: Mar 30, 2026 5 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.