DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

J•••• F• M••••• R••••••••• I••••••••• C••••••••• I•••

Former SEC-registered adviserAvila Beach, CaliforniaCRD 104980SEC 801-9166IAPD
Legal name M•••• J•••• F••••••••
Latest filing Mar 25, 2016
First filing on the tape Dec 15, 2011 · 12 filings
RAUM
$102M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$102M as of Mar 25, 2016
Jan 26, 2012$93.4M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 25, 2016
Jan 26, 20120 then
Employees (5.A)3 as of Mar 25, 2016
Feb 22, 20133 then
Private funds: no history
RAUM -6.6% over the last fiscal year+2.7% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 25, 2016; every figure names its basis
RAUM per advisor
$102MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$541,770derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
3.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-6.6%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourlyreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
189reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • K••••••••• L•••• E••• · Chief Compliance Officer / Vpcontrol
        since 09/1995 · owns 50% to 75%
      • M••••• J••••• F•••••••• · Presidentcontrol
        since 04/1973 · owns 50% to 75%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 179 to 189
        Feb 3, 2015 to Mar 25, 2016
      • Discretionary RAUM · $110M to $102M
        Feb 3, 2015 to Mar 25, 2016
      • RAUM · $110M to $102M
        Feb 3, 2015 to Mar 25, 2016
      • Accounts · 174 to 179
        Mar 1, 2014 to Feb 3, 2015
      • Discretionary RAUM · $103M to $110M
        Mar 1, 2014 to Feb 3, 2015
      • Non-discretionary RAUM · $270,203 to $0
        Mar 1, 2014 to Feb 3, 2015
      • RAUM · $104M to $110M
        Mar 1, 2014 to Feb 3, 2015
      • Accounts · 184 to 174
        Feb 22, 2013 to Mar 1, 2014
      • Discretionary RAUM · $94.4M to $103M
        Feb 22, 2013 to Mar 1, 2014
      • Non-discretionary RAUM · $194,291 to $270,203
        Feb 22, 2013 to Mar 1, 2014
      • RAUM · $94.6M to $104M
        Feb 22, 2013 to Mar 1, 2014
      • Accounts · 174 to 184
        Apr 26, 2012 to Feb 22, 2013
      • Advisory employees · unset to 1.0
        Apr 26, 2012 to Feb 22, 2013
      • Employees · unset to 3.0
        Apr 26, 2012 to Feb 22, 2013
      • State-registered IARs · 0 to 1
        Apr 26, 2012 to Feb 22, 2013
      • Discretionary RAUM · $93.3M to $94.4M
        Apr 26, 2012 to Feb 22, 2013
      • Non-discretionary RAUM · $122,457 to $194,291
        Apr 26, 2012 to Feb 22, 2013
      • RAUM · $93.4M to $94.6M
        Apr 26, 2012 to Feb 22, 2013
      • Accounts · 181 to 174
        Dec 15, 2011 to Jan 26, 2012
      • Insurance-licensed employees · unset to 0.0
        Dec 15, 2011 to Jan 26, 2012
      • Discretionary RAUM · $87.8M to $93.3M
        Dec 15, 2011 to Jan 26, 2012
      • Non-discretionary RAUM · $117,060 to $122,457
        Dec 15, 2011 to Jan 26, 2012
      • RAUM · $87.9M to $93.4M
        Dec 15, 2011 to Jan 26, 2012
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      Provenance
      Form ADV
      SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
      Advisors
      IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
      Class
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026