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.
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SEC-registered adviser
J••••• • C••••••• L••
Latest filing Aug 12, 2026
First filing on the tape Feb 7, 2012 · 33 filings
SEC status approved since Sep 1, 1976
RAUM
$1.2B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$1.1B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
33 filings and snapshots on the tape
RAUM$1.2B as of Aug 12, 2026
Feb 7, 2012$264M then
HNW client RAUM$1.1B as of Aug 12, 2026
Mar 6, 2018$597M then
State-registered IARs (5.B.3)3 as of Aug 12, 2026
Feb 7, 20120 then
Employees (5.A)5 as of Aug 12, 2026
Mar 19, 20132 then
Private funds: no history
RAUM +5.2% over the last fiscal year+10.0% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Aug 12, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $385MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 83derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.9MderivedHNW RAUM over HNW clients
- Average account
- $1.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.7derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +5.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.6%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Custody
- $886M, 232 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.1B97%
- Pension and profit-sharing plans$24.3M2.1%
- Individuals$8.2M0.7%
- Individual clients
- 23reported
- HNW clients
- 227reported
- Pension plan clients
- 9reported
- Charitable clients
- 0reported
- Accounts
- 809reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $886M for 232 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
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
- A••• P•••••• S••••••••• to S••••••• S••••• A•••••••Dec 18, 2019 · RIA to RIA
Joined, latest
- A••• P•••••• S••••••••• from B•• C•••••• M••••••••• I••Dec 9, 2014 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- J•••••••• M•••• D•••• · Managing Membercontrolsince 08/1988 · owns 50% to 75%
- N•••••••• S••••• A•••• · Chief Compliance Officercontrolsince 02/2021 · owns 10% to 25%
- N•••••••• T•••••• W•••••• · Managing Membercontrolsince 08/2002 · 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
- Accounts · 768 to 809Dec 3, 2025 to Feb 24, 2026
- HNW clients · 224 to 227Dec 3, 2025 to Feb 24, 2026
- Individual clients · 22 to 23Dec 3, 2025 to Feb 24, 2026
- Pension plan clients · 6 to 9Dec 3, 2025 to Feb 24, 2026
- Assets in custody · $880M to $886MDec 3, 2025 to Feb 24, 2026
- Discretionary RAUM · $1.1B to $1.2BDec 3, 2025 to Feb 24, 2026
- HNW RAUM · $1.1B to $1.1BDec 3, 2025 to Feb 24, 2026
- Individual RAUM · $7.9M to $8.2MDec 3, 2025 to Feb 24, 2026
- Pension RAUM · $13.4M to $24.3MDec 3, 2025 to Feb 24, 2026
- RAUM · $1.1B to $1.2BDec 3, 2025 to Feb 24, 2026
- Accounts · 738 to 768Feb 13, 2024 to Feb 20, 2025
- HNW clients · 218 to 224Feb 13, 2024 to Feb 20, 2025
- Individual clients · 21 to 22Feb 13, 2024 to Feb 20, 2025
- Pension plan clients · 2 to 6Feb 13, 2024 to Feb 20, 2025
- Assets in custody · $871M to $880MFeb 13, 2024 to Feb 20, 2025
- Financial planning clients · unset to Feb 13, 2024 to Feb 20, 2025
- Discretionary RAUM · $994M to $1.1BFeb 13, 2024 to Feb 20, 2025
- HNW RAUM · $979M to $1.1BFeb 13, 2024 to Feb 20, 2025
- Individual RAUM · $7.5M to $7.9MFeb 13, 2024 to Feb 20, 2025
- Pension RAUM · $7.2M to $13.4MFeb 13, 2024 to Feb 20, 2025
- RAUM · $994M to $1.1BFeb 13, 2024 to Feb 20, 2025
- Accounts · 703 to 738Feb 16, 2023 to Feb 13, 2024
- HNW clients · 213 to 218Feb 16, 2023 to Feb 13, 2024
- Individual clients · 20 to 21Feb 16, 2023 to Feb 13, 2024
- Assets in custody · $864M to $871MFeb 16, 2023 to Feb 13, 2024
- Discretionary RAUM · $868M to $994MFeb 16, 2023 to Feb 13, 2024
- HNW RAUM · $851M to $979MFeb 16, 2023 to Feb 13, 2024
- Individual RAUM · $7.6M to $7.5MFeb 16, 2023 to Feb 13, 2024
- Pension RAUM · $9.3M to $7.2MFeb 16, 2023 to Feb 13, 2024
- RAUM · $868M to $994MFeb 16, 2023 to Feb 13, 2024
- Accounts · 815 to 703Jun 8, 2022 to Feb 16, 2023
- Advisory employees · 2 to 3Jun 8, 2022 to Feb 16, 2023
- HNW clients · 189 to 213Jun 8, 2022 to Feb 16, 2023
- Individual clients · 14 to 20Jun 8, 2022 to Feb 16, 2023
- Pension plan clients · 3 to 2Jun 8, 2022 to Feb 16, 2023
- Assets in custody · $717M to $864MJun 8, 2022 to Feb 16, 2023
- Employees · 4 to 5Jun 8, 2022 to Feb 16, 2023
- State-registered IARs · 2 to 3Jun 8, 2022 to Feb 16, 2023
- Discretionary RAUM · $1.1B to $868MJun 8, 2022 to Feb 16, 2023
- HNW RAUM · $1.0B to $851MJun 8, 2022 to Feb 16, 2023
Signals
2 dated events
- A•••• S•••• N••••••• (Chief Compliance Officer) appeared on Schedule A of J••••• • C••••••• L••Feb 5, 2021 · Control person joined · fact
- J••••• • C• reported succeeding to the business of Another Adviser (Form ADV Item 4)Jan 6, 2017 · 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.
How to reach
public business contact points only, each with its source
- Principal office phone
- 415-777-1617reportedpublic record, Form ADV, Aug 12, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026