DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

J•••••• S••••• C••••••• L••

CRD 300314

SAN FRANCISCO, CA

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Search this name across graphsid dfx:ria:a852cb68-2263-009e-612e-621a820ebe4c

Data as of Mar 25, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 12:38 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 8
On other graphs: 0
Observed: Feb 1, 2019 to Mar 25, 2026
20 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=0.94 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $564M••• Locked
Discretionary RAUM: $521M
Private client RAUM: $531Mderived••• Locked
Private client share: 94%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 5
RAUM per advisor: $113Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
A••••• G•••••• G•••••	Chartered Financial Analyst	SAN FRANCISCO, CA	7	41	1	no
M•••••• J••• C••••••	n/a	SAN FRANCISCO, CA	7	10

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
G•••••• A•••••• G••••••	CHIEF EXECUTIVE OFFICER	E	yes	03/2019	Jul 1, 2019	May 7, 2024
S•••••••• S••••• L••••	CHIEF COMPLIANCE OFFICER	Na	yes	05/2019	Jun 12, 2019	May 7, 2024

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

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	1	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	$564M	$489M	15.4%	$316M	21.3%	6	6	0	0

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
J••• M••••• S••••••••• L••	3	Mar 19, 2019	Jan 2, 2025	SAN FRANCISCO, CA	Team lift out	Wirehouse to new firm	0.1%

Relationships

Registered with (6)

← K••••••• J•• C••••••••• T••••••••Advisorregistration: current employment
Jan 2, 2025 to presentfactForm ADV
← M•• P•••••• O•••••••Advisorregistration: current employment
Sep 13, 2022 to presentfactForm ADV
← J••• I•• M•••••••Advisorregistration: current employment
Jul 1, 2022 to presentfactForm ADV
← A••••• G•••••• G•••••

Dated events

Occurred
Feb 9, 2022
Advisor changed firm
Zachary Cannon Allen left J•••••• S••••• C••••••• L•• for J••• M••••• S••••••••• L•• (registered 2022-03-01)
Form ADVobserved 7 days ago
Occurred
Jan 12, 2021
Regulatory AUM changed
J•••••• S••••• C••••••• L•• reported RAUM $309.4M, up 50% from $206.6M (2020-08-10 to 2021-01-12)
Form ADVobserved 7 days ago
$103M
Occurred
Jul 1, 2019
Control person left
Ashley Matthew Swendiman (Member) no longer on Schedule A of J•••••• S••••• C••••••• L•• (listed 2019-06-12, absent 2019-07-01)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a852cb68-2263-009e-612e-621a820ebe4c
First observed: Feb 1, 2019
Last observed: Mar 25, 2026 6 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.