DFX Intelligence

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

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

J• H••••••• F••••••••• I•••

CRD 156845

WALNUT CREEK, CA

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Search this name across graphsid dfx:ria:e058f0ce-6388-c73b-ab31-1400031e3089

Data as of Mar 11, 2020 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:49 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Feb 28, 2020 to Mar 11, 2020
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: $148M••• Locked
Discretionary RAUM: $148M
Private client RAUM: $148Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 3

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
H•••••••• J•••••• W••••••	PRESIDENT CCO	E	yes	03/2011	Feb 28, 2020	Mar 11, 2020

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
L••••••• P•••••• A•••• M••••••••• L••	3	Jun 19, 2020	Feb 5, 2025	WALNUT CREEK, CA	Firm absorbed	RIA to RIA	100.0%

Relationships

Controls (1)

← H•••••••• J•••••• W••••••OwnerPRESIDENT CCO, ownership code E, individual
Feb 28, 2020 to presentfactForm ADV

Moved with (1)

→ L••••••• P•••••• A•••• M••••••••• L••Registered adviser3 advisors, firm absorbed
Jun 19, 2020 to Feb 5, 2025factForm ADV

Registered with (3)

← J••••• W•••••• H•••••••Advisorregistration: previous registration
Apr 26, 2011 to Jun 26, 2020factForm ADV

Dated events

Occurred
Feb 28, 2020
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e058f0ce-6388-c73b-ab31-1400031e3089
First observed: Feb 28, 2020
Last observed: Mar 11, 2020 79 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.