DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

P••••••• W••••• A•••••••

R•••••• • A••••••••• LLC, CRD 308292

SAN DIEGO, CA

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Search this name across graphsid dfx:ria:a494d2eb-341f-2943-f05e-dceae4948e3c

Data as of Jun 9, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 7:05 AM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 2
On other graphs: 0
Observed: Apr 19, 2020 to Jun 9, 2026
12 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: $583M••• Locked
Discretionary RAUM: $546M
Private client RAUM: $576Mderived••• Locked
Private client share: 99%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 5
RAUM per advisor: $117Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
A••••• J• S•••••	Certified Financial Planner	SIGNAL MOUNTAIN, TN \| SAN DIEGO, CA	5	18	n/a	no
L•••••• A••••• S•••••• L••••	Certified Financial Planner	SAN DIEGO, CA	3	12

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••••• J•••• B•••••••	MANAGING MEMBER, CHIEF COMPLIANCE OFFICER	C	yes	02/2020	Apr 19, 2020	Jun 13, 2024
C••••••• T•••• M•••••••	MANAGING MEMBER	C	yes	02/2020	Apr 19, 2020	Jun 13, 2024

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 28, 2026

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	$583M	$580M	0.6%	$530M	3.2%	14	15	0	0

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
R•••••• • A•••••••••	2	Nov 9, 2020	Apr 21, 2023	SAN DIEGO, CA	Team lift out	RIA to RIA	66.7%

Relationships

Registered with (6)

← J••• B••••••• A••••••Advisorregistration: current employment
Sep 18, 2026 to presentfactForm ADV
← S•••••• A••••• D•••••Advisorregistration: current employment
Apr 21, 2023 to presentfactForm ADV
← S••••••• S•••• K•••••••Advisorregistration: current employment
Apr 21, 2023 to presentfactForm ADV
← O••• A••••••

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Apr 19, 2020
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Show 1 bookkeeping events

Occurred
Sep 18, 2026
••• Locked

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a494d2eb-341f-2943-f05e-dceae4948e3c
First observed: Apr 19, 2020
Last observed: Jun 9, 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.