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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

JACKSON FINANCIAL MANAGEMENT

CRD 108029

COSTA MESA, 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:cfd1fefe-44e3-9c35-8ab6-d1672a476fbd

Data as of Mar 29, 2019 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:21 AM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 0
On other graphs: 1
Observed: Mar 30, 2012 to Mar 29, 2019
15 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Allocatorsidentity

Jackson Financial Management

Investment consultant · shared crd

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: $477MItem 5.F on the latest filing (2019-03-29); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $472M
Private client RAUM: $456MderivedItem 5.D individuals plus high net worth individuals
Private client share: 96%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 13
Advisory employees: 5
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 1,787
Individual clients: 301
High net worth clients: 151
Custody, client assets: $105M
SEC number: 801-55787
CRD: 108029
Filings on the tape: 15
First filed: Mar 30, 2012
Latest filed: Mar 29, 2019
Organised: Corporation, California

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
JACKSON, TRACY, OLIFF	PRESIDENT; CHAIRMAN; CHIEF COMPLIANCE OFFICER	E	yes	09/1995	Mar 30, 2012	Mar 29, 2019
ROGERS, CHRISTOPHER, JAMES	CHIEF INVESTMENT OFFICER	Na	yes	02/2015	Mar 31, 2017	Mar 29, 2019
SHANTON, JAMES, ALLEN	CORPORATE SECRETARY	B	yes	03/2018	Mar 30, 2012	Mar 29, 2019

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2018	Mar 29, 2019	$477M	$472M	13	5	0	n/a	n/a
2017	Mar 30, 2018	$490M	$486M	12	5	0	n/a	n/a
2016	Mar 31, 2017	$421M	$421M	12	7	n/a	n/a	n/a
2015	Mar 29, 2016	$396M	$391M	12	7	n/a	n/a	n/a
2014	Mar 28, 2015	$394M	$391M	11	5	n/a	n/a	n/a
2013	Mar 27, 2014	$353M	$349M	11	7	n/a	n/a	n/a
2012	Mar 21, 2013	$319M	$316M	12	5	n/a	n/a	n/a
2011	Mar 30, 2012	$288M	$287M	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2018	$477M	$490M	-2.6%	$396M	6.4%	13	12	0	0

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
MERCER GLOBAL ADVISORS INC.	5	Mar 27, 2020	Oct 7, 2019	COSTA MESA, CA	Firm absorbed	RIA to RIA	100.0%

Relationships

Controls (3)

← JACKSON, TRACY, OLIFFOwnerPRESIDENT; CHAIRMAN; CHIEF COMPLIANCE OFFICER, ownership code E, individual
Mar 30, 2012 to presentfactForm ADV
← ROGERS, CHRISTOPHER, JAMESOwnerCHIEF INVESTMENT OFFICER, ownership code NA, individual
Mar 31, 2017 to presentfactForm ADV
← SHANTON, JAMES, ALLENOwnerCORPORATE SECRETARY, ownership code B, individual
Mar 30, 2012 to presentfactForm ADV

Registered with (7)

← TRACY OLIFF JACKSONAdvisorregistration: previous registration
Oct 10, 1995 to Mar 27, 2020factForm ADV
← CHRISTOPHER JAMES ROGERSAdvisorregistration: previous registration
Apr 19, 2006 to Mar 27, 2020factForm ADV
← JAMES ALLEN SHANTONAdvisorregistration: previous registration
Mar 21, 2000 to Mar 27, 2020factForm ADV
← CALEB SAMUEL RODRIGUEZAdvisorregistration: previous registration
Dec 7, 2015 to Mar 27, 2020factForm ADV
← RUDOLPH EDWARD BRANDESAdvisorregistration: previous registration
Sep 16, 2015 to Mar 27, 2020factForm ADV
← Michael HuAdvisorregistration: previous registration
Mar 27, 2014 to Jan 5, 2018factForm ADV
← Kevin K ChungAdvisorregistration: previous registration
Jan 4, 2008 to Mar 27, 2015factForm ADV

Moved with (1)

→ MERCER GLOBAL ADVISORS INC.Registered adviser5 advisors, firm absorbed, same day
Mar 27, 2020 to Oct 7, 2019factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:cfd1fefe-44e3-9c35-8ab6-d1672a476fbd
First observed: Mar 30, 2012
Last observed: Mar 29, 2019 91 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.

JACKSON FINANCIAL MANAGEMENT

CRD 108029

COSTA MESA, 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:cfd1fefe-44e3-9c35-8ab6-d1672a476fbd

Data as of Mar 29, 2019 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:21 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

JACKSON, TRACY, OLIFF

PRESIDENT; CHAIRMAN; CHIEF COMPLIANCE OFFICER

yes

09/1995

Mar 30, 2012

Mar 29, 2019

ROGERS, CHRISTOPHER, JAMES

CHIEF INVESTMENT OFFICER

yes

02/2015

Mar 31, 2017

Mar 29, 2019

SHANTON, JAMES, ALLEN

CORPORATE SECRETARY

yes

03/2018

Mar 30, 2012

Mar 29, 2019

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2018

Mar 29, 2019

$477M

$472M

n/a

2017

Mar 30, 2018

$490M

$486M

n/a

2016

Mar 31, 2017

$421M

n/a

2015

Mar 29, 2016

$396M

$391M

n/a

2014

Mar 28, 2015

$394M

$391M

n/a

2013

Mar 27, 2014

$353M

$349M

n/a

2012

Mar 21, 2013

$319M

$316M

n/a

2011

Mar 30, 2012

$288M

$287M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2018

$477M

$490M

-2.6%

$396M

6.4%

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

MERCER GLOBAL ADVISORS INC.

Mar 27, 2020

Oct 7, 2019

COSTA MESA, CA

Firm absorbed

RIA to RIA

100.0%