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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Former SEC-registered adviser

J•••••• F•••••••• M•••••••••

Former SEC-registered adviserCosta Mesa, CaliforniaCRD 108029SEC 801-55787IAPD
Latest filing Mar 29, 2019
First filing on the tape Mar 30, 2012 · 15 filings
RAUM
$477M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
96%
$456M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
13
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$477M as of Mar 29, 2019
Mar 30, 2012$288M then
HNW client RAUM$400M as of Mar 29, 2019
Mar 30, 2018$393M then
State-registered IARs (5.B.3)5 as of Mar 29, 2019
Mar 21, 20135 then
Employees (5.A)13 as of Mar 29, 2019
Mar 21, 201312 then
Private funds: no history
RAUM -2.6% over the last fiscal year+6.4% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Mar 29, 2019; every figure names its basis
RAUM per advisor
$95.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
90derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.6MderivedHNW RAUM over HNW clients
Average account
$267,147derivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
2.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.6derivedItem 5.A over advisors
Advisors per office
5.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-2.6%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
-1.3%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, otherreportedItem 5.G
Custody
$105M, 146 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$400M84%
  • Individuals$56.9M12%
  • Corporations and businesses$10.6M2.2%
  • Pension and profit-sharing plans$10.2M2.1%
  • Charitable organizations$264,4760.1%
Individual clients
301reported
HNW clients
151reported
Pension plan clients
10reported
Charitable clients
n/areported
Accounts
1,787reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
$105M for 146 clientsreported
Compensation
% of AUM, fixed, 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
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • J••••••• T••••• O•••• · President; Chairman; Chief Compliance Officercontrol
      since 09/1995 · owns 75% or more
    • R•••••• C••••••••• J•••• · Chief Investment Officercontrol
      since 02/2015 · owns less than 5%
    • S••••••• J••••• A•••• · Corporate Secretarycontrol
      since 03/2018 · owns 10% to 25%
    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 · 1,810 to 1,787
      Nov 6, 2018 to Mar 29, 2019
    • Corporate clients · 32 to 34
      Nov 6, 2018 to Mar 29, 2019
    • HNW clients · 148 to 151
      Nov 6, 2018 to Mar 29, 2019
    • Individual clients · 310 to 301
      Nov 6, 2018 to Mar 29, 2019
    • Pension plan clients · 15 to 10
      Nov 6, 2018 to Mar 29, 2019
    • Assets in custody · $171M to $105M
      Nov 6, 2018 to Mar 29, 2019
    • Employees · 12 to 13
      Nov 6, 2018 to Mar 29, 2019
    • Financial planning clients · More than 500 to 251-500
      Nov 6, 2018 to Mar 29, 2019
    • Discretionary RAUM · $486M to $472M
      Nov 6, 2018 to Mar 29, 2019
    • HNW RAUM · $393M to $400M
      Nov 6, 2018 to Mar 29, 2019
    • Individual RAUM · $60.0M to $56.9M
      Nov 6, 2018 to Mar 29, 2019
    • Non-discretionary RAUM · $3.7M to $5.0M
      Nov 6, 2018 to Mar 29, 2019
    • Pension RAUM · $12.5M to $10.2M
      Nov 6, 2018 to Mar 29, 2019
    • RAUM · $490M to $477M
      Nov 6, 2018 to Mar 29, 2019
    • Accounts · 1,682 to 1,810
      Sep 28, 2017 to Mar 30, 2018
    • Advisory employees · 7 to 5
      Sep 28, 2017 to Mar 30, 2018
    • Corporate clients · unset to 32.0
      Sep 28, 2017 to Mar 30, 2018
    • HNW clients · unset to 148.0
      Sep 28, 2017 to Mar 30, 2018
    • Individual clients · unset to 310.0
      Sep 28, 2017 to Mar 30, 2018
    • Pension plan clients · unset to 15.0
      Sep 28, 2017 to Mar 30, 2018
    • Assets in custody · $47.9M to $171M
      Sep 28, 2017 to Mar 30, 2018
    • Financial planning clients · 251-500 to More than 500
      Sep 28, 2017 to Mar 30, 2018
    • State-registered IARs · 6 to 5
      Sep 28, 2017 to Mar 30, 2018
    • Other offices · unset to 0.0
      Sep 28, 2017 to Mar 30, 2018
    • Discretionary RAUM · $421M to $486M
      Sep 28, 2017 to Mar 30, 2018
    • HNW RAUM · unset to 393155927.0
      Sep 28, 2017 to Mar 30, 2018
    • Individual RAUM · unset to 59992909.0
      Sep 28, 2017 to Mar 30, 2018
    • Non-discretionary RAUM · $0 to $3.7M
      Sep 28, 2017 to Mar 30, 2018
    • Pension RAUM · unset to 12478938.0
      Sep 28, 2017 to Mar 30, 2018
    • RAUM · $421M to $490M
      Sep 28, 2017 to Mar 30, 2018
    • Accounts · 1,601 to 1,682
      Dec 21, 2016 to Mar 31, 2017
    • Assets in custody · unset to 47878343.0
      Dec 21, 2016 to Mar 31, 2017
    • Custody of client assets · false to true
      Dec 21, 2016 to Mar 31, 2017
    • Discretionary RAUM · $391M to $421M
      Dec 21, 2016 to Mar 31, 2017
    • Non-discretionary RAUM · $4.8M to $0
      Dec 21, 2016 to Mar 31, 2017
    • RAUM · $396M to $421M
      Dec 21, 2016 to Mar 31, 2017
    • Accounts · 1,675 to 1,601
      Feb 10, 2016 to Mar 29, 2016
    • Advisory employees · 5 to 7
      Feb 10, 2016 to Mar 29, 2016
    • Employees · 11 to 12
      Feb 10, 2016 to Mar 29, 2016
    • State-registered IARs · 5 to 6
      Feb 10, 2016 to Mar 29, 2016
    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