DFX Intelligence

J••••••• • B•••• W••••• 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 1bsuccession filed

J••••••• • B•••• W••••• M••••••••• L••

CRD 169401

PETALUMA, CA

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Search this name across graphsid dfx:ria:97a78a39-5113-1860-2949-13c4fbaf4367

Data as of Jan 3, 2017 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:15 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 2
On other graphs: 0
Observed: Nov 25, 2013 to Jan 3, 2017
11 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: $126M••• Locked
Discretionary RAUM: $117M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 5
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••• B••••• J••••••	MANAGING MEMBER/ CHIEF COMPLIANCE OFFICER	E	yes	01/2014	Nov 25, 2013	Jan 3, 2017

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2015	Feb 1, 2016

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2015	$126M	$115M	9.6%	n/a	n/a	5	4	n/a	n/a

Relationships

Controls (1)

← B••••• B••••• J••••••OwnerMANAGING MEMBER/ CHIEF COMPLIANCE OFFICER, ownership code E, individual
Nov 25, 2013 to presentfactForm ADV

Registered with (2)

← B•••• J•••••• B••••Advisorregistration: previous registration
Jan 6, 2014 to Feb 27, 2017factForm ADV
← N••• B••••••• J•••••••Advisorregistration: previous registration
Jan 6, 2014 to Jan 6, 2017factForm ADV

Dated events

Occurred
Jan 3, 2017
Succession filed (Item 4)
••• Locked
Form ADVobserved 8 days ago
Occurred
Nov 25, 2013
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:97a78a39-5113-1860-2949-13c4fbaf4367
First observed: Nov 25, 2013
Last observed: Jan 3, 2017 118 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.