DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC adviserNot on rosterRAUM none

H•••••• W••••• A••••••• I••

CRD 157937

ROSEVILLE, CA

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Data as of Jan 26, 2017 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:43 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Jan 26, 2017 to Jan 26, 2017
1 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
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Employees: 1
Advisory employees: 1
SEC number: 801-109934
CRD: 157937
Filings on the tape: 1
First filed

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
F•••• J•••••• S•••	President	D	yes	05/2011	Jan 26, 2017	Jan 26, 2017
J••• J•••••• H•••	CHIEF COMPLIANCE OFFICER	D	yes	05/2011	Jan 26, 2017	Jan 26, 2017

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
R••••••• I••••••••• A••••••••• I•••	n/a	Former SEC adviser	$416M	Y	no	n/a

Relationships

Affiliated with (2)

← R••••••• I••••••••• A••••••••• I•••Registered adviserother investment adviser
factForm ADV
→ R••••••• I••••••••• A••••••••• I•••Registered adviserother investment adviser, broker-dealer, control
factForm ADV

Controls (2)

← J••• J•••••• H•••OwnerCHIEF COMPLIANCE OFFICER, ownership code D, individual
Jan 26, 2017 to presentfactForm ADV
← F•••• J•••••• S•••Owner

Dated events

Order

Occurred
26 Jan 2017
First Form ADV filing
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jan 26, 2017
Last observed: Jan 26, 2017 117 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.