DFX Intelligence

J•• 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

J•• W••••• M••••••••• I•••

CRD 120267

PETALUMA, CA

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Search this name across graphsid dfx:ria:5f12c987-3ed1-8252-ddd4-680e58207021

Data as of Jun 25, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:16 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Mar 29, 2012 to Jun 25, 2026
27 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=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $313M••• Locked
Discretionary RAUM: $313M
Private client RAUM: $309Mderived••• Locked
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $156Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
J•••• P•••••• C•••••	n/a	Petaluma, CA	17	30	2	no
D••••••• M•••• S•••••	n/a	Petaluma, CA	2	10

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••••• J••••• P••••••	PRESIDENT/CHIEF COMPLIANCE OFFICER	E	yes	06/1996	Mar 29, 2012	Mar 28, 2024

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

••• Locked

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

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	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	$313M	$254M	23.3%	$238M	9.6%	3	3	2	2

Relationships

Registered with (3)

← D••••••• M•••• S•••••Advisorregistration: current employment
Jan 10, 2024 to presentfactForm ADV
← J•••• P•••••• C•••••Advisorregistration: previous registration
Sep 3, 1996 to Dec 31, 2008factForm ADV
← D•••••• A•• P•••Advisorregistration: previous registration
Apr 14, 2011 to Jun 15, 2021factForm ADV

Affiliated with (1)

Dated events

Occurred
Apr 21, 2025
Ria hq relocated
••• Locked
Form ADVobserved today

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5f12c987-3ed1-8252-ddd4-680e58207021
First observed: Mar 29, 2012
Last observed: Jun 25, 2026 3 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.