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M•••••• J• B•••••••• F•••••••• • E••••• P•••••••

Former SEC-registered adviserFormer SEC adviser· Santa Barbara, California

Former SEC-registered adviser, based in Santa Barbara, California, reporting $132M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2013-04-01 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: $132M
RAUM change, 1 year: +7.4%
Private clients: 0.0%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2013-04-01 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 1 Apr 2013, RAUM $123M to $132M (+7.4%) on the Form ADV filed 1 Apr 2013.

Every filed figure, and the identifiersCRD 105585 · SEC 801-28362 · 3 filingsShow

CRD 105585SEC 801-28362Legal name B•••••••• M•••••• J•••First filing on the tape Mar 29, 2012, latest Apr 1, 2013IAPD

RAUM

$132M

reported, Item 5.F

Discretionary

39%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

n/a

beyond the principal office

Private funds

reported on Schedule D

History

3 filings and snapshots on the tape

RAUM +7.4% over the last fiscal year · the tape starts Mar 29, 2012

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$132M as of Mar 28, 2013

Mar 29, 2012$123M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 28, 2013

Mar 29, 20120 then

Employees (5.A): 5

Private funds: no history

RAUM +7.4% over the last fiscal yearIARs 0 to 0

Practice profile

derived from the filing of Apr 1, 2013; every figure names its basis

The rule behind each archetype, and every derived figureShow

RAUM per advisor: unknownderivedRAUM 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: $1.3MderivedRAUM over accounts (5.F.2.f)
Discretionary: 39%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: unknownderivedItem 5.A over advisors
Advisors per office: unknownderived1 office incl. principal (1.F.5)
RAUM growth, one year: +7.4%derivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: percentage of assets, hourly, fixed fees, otherreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, selection of other advisers, otherreportedItem 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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

No Item 5.D breakdown on this filing.

The breakdown by client type, and the client countsShow

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: 105reported
Financial planning clients: 26-50reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: absent from the latest SEC rosterderived

Advisor movement

Where they went: the top destinations among the 1 most recent departures on the tape

B•••••••• W•••• L••1 advisor

Left, latest

J••••••• K•••••• W••• to B•••••••• W•••• L••
Apr 19, 2013 · Other

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

0 on IAPD today; the longest tenured first

No representative is registered through this CRD on IAPD.

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

B••••••••• M••••••• J••• · Chief Compliance Officercontrol
since 06/1986 · owns 50% to 75%
W•••• J•••••••• K• · Membercontrol
since 03/2013 · owns 25% to 50%

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

Advisory employees · 3 to 2
Mar 28, 2013 to Apr 1, 2013
Employees · 5 to 4
Mar 28, 2013 to Apr 1, 2013
Organization form · Sole Proprietorship to Limited Liability Company
Mar 28, 2013 to Apr 1, 2013
Succession · false to true
Mar 28, 2013 to Apr 1, 2013
Accounts · 96 to 105
Mar 29, 2012 to Mar 28, 2013

Full history · 11 changes

Advisory employees · unset to 3.0
Mar 29, 2012 to Mar 28, 2013
Employees · unset to 5.0
Mar 29, 2012 to Mar 28, 2013
Financial planning clients · 11-25 to 26-50
Mar 29, 2012 to Mar 28, 2013
Discretionary RAUM · $41.2M to $51.8M
Mar 29, 2012 to Mar 28, 2013
Non-discretionary RAUM · $81.5M to $79.9M
Mar 29, 2012 to Mar 28, 2013
RAUM · $123M to $132M
Mar 29, 2012 to Mar 28, 2013

Signals

1 dated events

••• Locked
Apr 1, 2013 · Succession (Item 4) · fact

Across DFX

shared identifiers only, never a name match

No identifier-backed link to the venture, private equity, family office or sponsor graphs.

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: Not computedderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026