DFX Intelligence

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

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

J•••••• I••••••••• A•••••••• I••

CRD 157223

LOS ALTOS, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:abb0c363-13f9-1bb2-5095-993f24109988

Data as of Dec 12, 2011 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:08 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Nov 30, 2011 to Dec 12, 2011
2 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: $0••• Locked
Discretionary RAUM: $0
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Accounts: 0
SEC number: 801-72345
CRD: 157223

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••••••• M••••••• J••••••	INDIRECT OWNER	C	yes	05/2011	Nov 30, 2011	Dec 12, 2011
J••••••• I•••	DIRECT OWNER	E	yes	05/2011	Nov 30, 2011	Dec 12, 2011

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
J••••••• I•••	n/a	Asset manager	$824M	Y	no	n/a

Relationships

Affiliated with (1)

→ R••••••• A•••••••• I•••Registered adviserother investment adviser, control
factForm ADV

Controls (2)

← J••••••• I•••OwnerDIRECT OWNER, ownership code E, domestic entity
Nov 30, 2011 to presentfactForm ADV
← B••••••••• M••••••• J••••••OwnerINDIRECT OWNER, ownership code C, individual
Nov 30, 2011 to presentfactForm ADV

Owns (3)

← B••••••••• M••••••• J••••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:abb0c363-13f9-1bb2-5095-993f24109988
First observed: Nov 30, 2011
Last observed: Dec 12, 2011 179 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.