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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 100m 1b

F•••••••• A••••••••• I•••

CRD 108245

LA JOLLA, CA

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Search this name across graphsid dfx:ria:ea793edd-5cec-b9b7-190d-fba85b9f624a

Data as of Mar 13, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 10:59 AM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 1
On other graphs: 0
Observed: Mar 22, 2012 to Mar 13, 2026
19 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=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $615MItem 5.F on the latest filing (2026-03-13); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $607M
Private client RAUM: $614MderivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 6
RAUM per advisor

Advisors on IAPD

current investment adviser representatives on the IAPD individual feed, longest tenure first

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
J•••• A••• F••••••	Certified Financial Planner	LA JOLLA, CA	21	40	n/a	no
P••••••• E•••• L•	Certified Financial Planner	La Jolla, CA	15	16

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
F••••••• J••••• A•••	PRESIDENT/CHIEF COMPLIANCE OFFICER	D	yes	01/2001	Mar 22, 2012	Mar 28, 2024
J••••••• C••••••••• E•••••	CHIEF OPERATING OFFICER	C	yes	07/2001	Mar 22, 2012

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
LA JOLLA	CA	United States	3	no

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

Advisor flows

derived: registrations beginning and ending at this CRD on IAPD, bulk corporate re-registrations excluded; the rate is departures over IAPD headcount

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

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
2025	$615M	$548M	12.2%	$459M	10.2%	13	12	1	1

Relationships

Registered with (7)

← C••••• A••••• M••••••••Advisorregistration: current employment
Dec 8, 2025 to presentfactForm ADV
← D•••• A•••••• R••••••••Advisorregistration: current employment
Mar 10, 2025 to presentfactForm ADV
← A••••• R•••••• H•••••••Advisorregistration: current employment
Jul 23, 2021 to presentfactForm ADV
← C••••••••• E••••• J••••••

Dated events

Occurred
Mar 23, 2022
Regulatory AUM changed
F•••••••• A••••••••• I••• reported RAUM $458.5M, up 67% from $274.5M (2021-08-03 to 2022-03-23)
Form ADVobserved 7 days ago
$184M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ea793edd-5cec-b9b7-190d-fba85b9f624a
First observed: Mar 22, 2012
Last observed: Mar 13, 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.

2025	Mar 13, 2026	$615M	$607M	13	7	1	n/a	n/a
2024	Mar 24, 2025	$548M	$540M	12	7	1	n/a	n/a
2023	Mar 28, 2024	$507M	$504M	12	5	1	n/a	n/a
2022	Mar 29, 2023	$459M	$455M	13	7	1	n/a	n/a
2021	Mar 23, 2022	$459M	$437M	14	7	1	n/a	n/a
2020	Mar 1, 2021	$245M	$241M	7	3	1	n/a	n/a
2019	Apr 10, 2020	$231M	$230M	6	3	1	n/a	n/a
2018	Mar 27, 2019	$205M	$204M	6	3	1	n/a	n/a
2017	Mar 30, 2018	$200M	$200M	6	3	1	n/a	n/a
2016	Mar 28, 2017	$163M	$162M	5	3	n/a	n/a	n/a
2015	Feb 20, 2016	$136M	$134M	5	3	n/a	n/a	n/a
2014	Mar 16, 2015	$123M	$122M	5	3	n/a	n/a	n/a
2013	Mar 31, 2014	$115M	$112M	3	3	n/a	n/a	n/a
2012	Feb 6, 2013	$103M	$103M	3	3	n/a	n/a	n/a
2011	Mar 22, 2012	$94.9M	$94.9M	n/a	n/a	n/a	n/a	n/a