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J•••• A•••• M••••••••• L••

Independent wealth managerSEC-registered· Beverly Hills, California

Independent wealth manager, based in Beverly Hills, California, reporting $116M of regulatory assets across 1 registered advisors.

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

Regulatory AUM
$116M
Form ADV
Advisors
1
IAPD
Net advisor flow, 12 months
0
0 joined, 0 left
IAPD registration history
Private clients
86%
of RAUM, $99.7M
Form ADV
See where advisers wentSee teams that moved
More
Advisors (1)Where the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. No dated change on record yet.

Every filed figure, and the identifiersCRD 108082 · SEC 801-136067 · 7 filingsShow
CRD 108082SEC 801-136067First filing on the tape Mar 14, 2012, latest Jun 2, 2026SEC status approved since Apr 29, 2026IAPD
RAUM
$116M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
86%
$99.7M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$116M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape

Filed figures over time · the tape starts Mar 14, 2012

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$116M as of Jun 2, 2026
Mar 14, 2012$70.8M then
HNW client RAUM$93.8M as of Jun 2, 2026
Mar 30, 2026$93.8M then
State-registered IARs (5.B.3)1 as of Jun 2, 2026
Mar 14, 20120 then
Employees (5.A)2 as of Jun 2, 2026
Mar 30, 20262 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 2, 2026; every figure names its basis
Archetypes
The rule behind each archetype, and every derived figure1 ruleShow
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office, and at most 25 employees (Item 5.A)
RAUM per advisor
$116MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
58derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.4MderivedHNW RAUM over HNW clients
Average account
$779,994derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
8.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 office incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
Custody
$42.6M, 27 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)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing

81% high-net-worth individuals, 7.2% pension and profit-sharing plans, and 3 other client types

The breakdown by client type, and the client counts5 client typesShow
  • High-net-worth individuals$93.8M81%
  • Pension and profit-sharing plans$8.4M7.2%
  • Corporations and businesses$7.1M6.1%
  • Individuals$5.9M5.1%
  • Charitable organizations$1.1M0.9%
Individual clients
19reported
HNW clients
39reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
149reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
$42.6M for 27 clientsreported
Compensation
% of AUMreported
Class basis
RAUM: 86% private clients, 0% pooled funds, 8% institutions; no related broker-dealer; no related bankderived
Advisor movement
0 left over 36 months
0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Advisors registered through the firm
      1 on IAPD today; the longest tenured first
      NameBranchHere sinceIn industryPrior firms
      M••••••• R••••• J••••Beverly Hills, CaDec 13, 201146 y0
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • J••••• M•••••••• R••••• · Manager/Chief Compliance Officercontrol
        since 03/1998 · owns 75% or more
      • K•••••• E••••• K•••• · Member
        since 03/1998 · owns 5% to 10%
      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 · 180 to 149
        May 11, 2012 to Mar 30, 2026
      • Advisory employees · unset to 1.0
        May 11, 2012 to Mar 30, 2026
      • Advisory activities · 1 to 3
        May 11, 2012 to Mar 30, 2026
      • HNW clients · unset to 39.0
        May 11, 2012 to Mar 30, 2026
      • Individual clients · unset to 19.0
        May 11, 2012 to Mar 30, 2026
      Full history · 17 changes
      • Assets in custody · unset to 42629817.0
        May 11, 2012 to Mar 30, 2026
      • Custody of client assets · false to true
        May 11, 2012 to Mar 30, 2026
      • Employees · unset to 2.0
        May 11, 2012 to Mar 30, 2026
      • Financial planning clients · unset to
        May 11, 2012 to Mar 30, 2026
      • State-registered IARs · 0 to 1
        May 11, 2012 to Mar 30, 2026
      • Other offices · unset to 0.0
        May 11, 2012 to Mar 30, 2026
      • Discretionary RAUM · $60.0M to $116M
        May 11, 2012 to Mar 30, 2026
      • HNW RAUM · unset to 93842289.0
        May 11, 2012 to Mar 30, 2026
      • Individual RAUM · unset to 5873170.0
        May 11, 2012 to Mar 30, 2026
      • Non-discretionary RAUM · $10.8M to $0
        May 11, 2012 to Mar 30, 2026
      • Pension RAUM · unset to 8359345.0
        May 11, 2012 to Mar 30, 2026
      • RAUM · $70.8M to $116M
        May 11, 2012 to Mar 30, 2026
      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, Jun 2, 2026
      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
      Independent wealth managerderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      $116Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026

      Not yet on record: RAUM change, 1 year.