DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

G••••• J•••• I••••••••• C••••••

CRD 107158

PASADENA, CA

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Search this name across graphsid dfx:ria:658c8917-b473-f412-df23-d11c5c0222c8

Data as of Feb 28, 2023 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:06 PM UTC and rebuilt at most every 15 minutes.

Relationships: 25
Dated events: 13
On other graphs: 0
Observed: Nov 15, 2011 to Feb 28, 2023
37 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: $1.6B••• Locked
Discretionary RAUM: $1.1B
Private client RAUM: $1.6Bderived••• Locked
Private client share: 97%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 17

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
G•••••• A•••••• J••••	President	B	yes	01/2011	Nov 15, 2011	Feb 28, 2023
G•••••• A•••••• J••••	CHIEF COMPLIANCE OFFICER	B	yes	01/2003	Nov 15, 2011	Feb 28, 2023

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Alpharetta	Ga	United States	1	no
Beaverton	Or	United States	1	no

Regulatory AUM by fiscal year

••• Locked

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

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2022	$1.6B	$2.0B	-19.5%	$1.6B	0.8%	17	17	2	2

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
C••••• P••••••• L••	10	Sep 14, 2023	Mar 7, 2024	PASADENA, CA	Firm absorbed	RIA to RIA	100.0%

Relationships

Affiliated with (2)

← R•••• T•••• W••••• M•••••••••Registered adviserother investment adviser, control, common control
factForm ADV
← C•••••••• C•••••• M•••••••••Registered adviserother investment adviser, control, common control
factForm ADV

Controls (5)

← G•••••• A•••••• J••••OwnerPRESIDENT, ownership code B, individual
Nov 15, 2011 to presentfactForm ADV
← J••••• T•••••• S••••••Owner

Dated events

Occurred
Sep 14, 2023
Firm absorbed
••• Locked
Form ADVobserved 8 days ago
10 advisors
Occurred
Sep 14, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Sep 14, 2023
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
Sep 14, 2023
Advisor changed firm

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:658c8917-b473-f412-df23-d11c5c0222c8
First observed: Nov 15, 2011
Last observed: Feb 28, 2023 43 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.