DFX Intelligence
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A••••• I••••••••• M•••••••••
Independent wealth managerSEC-registered
Independent wealth manager, reporting $342M of regulatory assets across 1 registered advisors.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $342M
- Advisors
- 1
- Net advisor flow, 12 months
- 0 (0 in, 0 out)
- RAUM change, last fiscal year
- +15%
- Private clients
- 83% of RAUM, $282M
Form ADV
IAPD
IAPD registration history
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- Contact points 1
Every filed figure, and the identifiersCRD 106542 · SEC 801-13100 · 21 filingsShowHide
CRD 106542SEC 801-13100First filing on the tape Mar 30, 2012, latest Mar 31, 2026SEC status approved since Jun 16, 1977IAPD
RAUM
$342M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
83%
$282M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$342M
derived; firm RAUM over IAPD count
Employees
5
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$342M as of Mar 31, 2026
Mar 30, 2012$108M then
HNW client RAUM$263M as of Mar 31, 2026
Mar 30, 2018$141M then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 30, 20120 then
Employees (5.A)5 as of Mar 31, 2026
Mar 28, 20132 then
Private funds: no history
RAUM +15% over the last fiscal year+13% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $342MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 97derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.2MderivedHNW RAUM over HNW clients
- Average account
- $857,450derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 5.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +14%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, 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)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$263M77%
- Corporations and businesses$55.3M16%
- Individuals$19.6M5.7%
- Charitable organizations$4.4M1.3%
- Individual clients
- 46reported
- HNW clients
- 51reported
- Pension plan clients
- 0reported
- Charitable clients
- 2reported
- Accounts
- 399reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.83 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• E••••• A•••••• | Pasadena, Ca | Jan 1, 2025 | 36 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••••• J•••• E••••• · President, Chief Financial Officer, Chief Compliance Officer, Corporate Secretary, And Directorcontrolsince 06/2005 · owns 75% or more
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 · 397 to 399Mar 31, 2025 to Mar 31, 2026
- HNW clients · 48 to 51Mar 31, 2025 to Mar 31, 2026
- Individual clients · 37 to 46Mar 31, 2025 to Mar 31, 2026
- Assets in custody · $20.8M to $24.9MMar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $297M to $341MMar 31, 2025 to Mar 31, 2026
- HNW RAUM · $233M to $263MMar 31, 2025 to Mar 31, 2026
- Individual RAUM · $12.8M to $19.6MMar 31, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $687,403 to $711,452Mar 31, 2025 to Mar 31, 2026
- RAUM · $298M to $342MMar 31, 2025 to Mar 31, 2026
- Accounts · 392 to 397Mar 30, 2024 to Mar 31, 2025
- HNW clients · 46 to 48Mar 30, 2024 to Mar 31, 2025
- Individual clients · 45 to 37Mar 30, 2024 to Mar 31, 2025
- Assets in custody · $15.1M to $20.8MMar 30, 2024 to Mar 31, 2025
- Employees · 6 to 5Mar 30, 2024 to Mar 31, 2025
- Financial planning clients · 11-25 to 11-25Mar 30, 2024 to Mar 31, 2025
- HQ city · unset to Mar 30, 2024 to Mar 31, 2025
- HQ state · unset to Mar 30, 2024 to Mar 31, 2025
- Discretionary RAUM · $266M to $297MMar 30, 2024 to Mar 31, 2025
- HNW RAUM · $235M to $233MMar 30, 2024 to Mar 31, 2025
- Individual RAUM · $18.1M to $12.8MMar 30, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $781,154 to $687,403Mar 30, 2024 to Mar 31, 2025
- RAUM · $267M to $298MMar 30, 2024 to Mar 31, 2025
- Accounts · 364 to 392Mar 31, 2023 to Mar 30, 2024
- Corporate clients · 2 to 3Mar 31, 2023 to Mar 30, 2024
- HNW clients · 41 to 46Mar 31, 2023 to Mar 30, 2024
- Individual clients · 53 to 45Mar 31, 2023 to Mar 30, 2024
- Assets in custody · $14.7M to $15.1MMar 31, 2023 to Mar 30, 2024
- Employees · 5 to 6Mar 31, 2023 to Mar 30, 2024
- Discretionary RAUM · $237M to $266MMar 31, 2023 to Mar 30, 2024
- HNW RAUM · $203M to $235MMar 31, 2023 to Mar 30, 2024
- Individual RAUM · $21.6M to $18.1MMar 31, 2023 to Mar 30, 2024
- Non-discretionary RAUM · $574,028 to $781,154Mar 31, 2023 to Mar 30, 2024
- RAUM · $238M to $267MMar 31, 2023 to Mar 30, 2024
- Accounts · 295 to 364Mar 31, 2022 to Mar 31, 2023
- Charity clients · 1 to 2Mar 31, 2022 to Mar 31, 2023
- Individual clients · 25 to 53Mar 31, 2022 to Mar 31, 2023
- Assets in custody · $18.1M to $14.7MMar 31, 2022 to Mar 31, 2023
- Employees · 4 to 5Mar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $213M to $237MMar 31, 2022 to Mar 31, 2023
- HNW RAUM · $189M to $203MMar 31, 2022 to Mar 31, 2023
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.
How to reach
public business contact points only, each with its source
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Mar 31, 2026
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $342Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026