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•• C•••••• A••••••• L••
Latest filing Mar 25, 2024
First filing on the tape Nov 17, 2011 · 23 filings
SEC status approved since Jan 11, 2000
RAUM
$105M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
54%
$56.1M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$105M as of Mar 25, 2024
Mar 27, 2012$111M then
HNW client RAUM$54.4M as of Mar 25, 2024
Mar 30, 2018$89.6M then
State-registered IARs (5.B.3)0 as of Mar 25, 2024
Mar 27, 20120 then
Employees (5.A)3 as of Mar 25, 2024
Mar 28, 20139 then
Private funds: no history
RAUM -46% over the last fiscal year-4.6% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 25, 2024; every figure names its basis
- 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
- $200,155derivedHNW RAUM over HNW clients
- Average account
- $346,684derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 8.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -46%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -47%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, 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
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$54.4M52%
- Corporations and businesses$39.3M38%
- Pension and profit-sharing plans$9.3M8.9%
- Individuals$1.6M1.6%
- Individual clients
- 26reported
- HNW clients
- 272reported
- Pension plan clients
- 3reported
- Charitable clients
- n/areported
- Accounts
- 302reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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
- J••• F••••••• C•••••• to Q••••• W•••• A•••••••• L••Feb 12, 2025 · RIA to RIA
- C••••• J••••• S••••• to Q••••• W•••• A•••••••• L••Jan 27, 2025 · RIA to RIA
- D••••• L••••••• H••••••• to S••••••••• A•••••• A•••••••• I•••Mar 5, 2015 · Other
- K••••••••• B•••• F•••• to P•• M•••••• A•••••• S••••••••• I•••Nov 3, 2014 · Other
- D••••• P••••• L••••••••• to F•••• F•••••••• E••••• C•••••••••Sep 26, 2012 · Other
- J••• P• P••• to F•••• F•••••••• E••••• C•••••••••May 17, 2012 · Other
- A•••• L•• T•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Nov 18, 2011 · Other
- R••••••• C•••••• R•••••••• to A••••••• A•••• A•••••••• L••Sep 6, 2011 · Other
Joined, latest
- J••• F••••••• C•••••• from V••• F•••••••• A•••••••• I•••Mar 13, 2020 · Affiliated broker-dealer or bank to independent RIA
- K••••••••• B•••• F•••• from V•• A•••••••• I•••Sep 12, 2013 · Other
- A•••• L•• T•••••• from W•• S•••••••••Jul 21, 2011 · Other
- R••••••• C•••••• R•••••••• from W•• S•••••••••Jul 20, 2011 · Other
- C••••• J••••• S••••• from W•• S•••••••••Jul 13, 2011 · Other
- D••••• P••••• L••••••••• from W•• S•••••••••Jul 7, 2011 · Other
- J••• P• P••• from W•• S•••••••••Jun 16, 2011 · Other
- D••••• L••••••• H••••••• from F•• S••••••••• C•••••••••Sep 16, 2004 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••• L••••• R•••••• · President, Coo, Chief Compliance Officercontrolsince 12/1999 · owns less than 5%
Entity owners
- J•• C•••••• M••••••••• G•••• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Newport Beach, Ca · principal | 0 | 0 | 0 | ||
| Oceanside, Ca | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 565 to 302Nov 29, 2023 to Mar 25, 2024
- Advisory employees · 6 to 3Nov 29, 2023 to Mar 25, 2024
- BD registered reps · 6 to 3Nov 29, 2023 to Mar 25, 2024
- HNW clients · 276 to 272Nov 29, 2023 to Mar 25, 2024
- Individual clients · 285 to 26Nov 29, 2023 to Mar 25, 2024
- Employees · 6 to 3Nov 29, 2023 to Mar 25, 2024
- HNW RAUM · $59.8M to $54.4MNov 29, 2023 to Mar 25, 2024
- Individual RAUM · $86.8M to $1.6MNov 29, 2023 to Mar 25, 2024
- Non-discretionary RAUM · $195M to $105MNov 29, 2023 to Mar 25, 2024
- Pension RAUM · $8.6M to $9.3MNov 29, 2023 to Mar 25, 2024
- RAUM · $195M to $105MNov 29, 2023 to Mar 25, 2024
- Related broker-dealer · true to falseNov 29, 2023 to Mar 25, 2024
- HQ city · IRVINE to NEWPORT BEACHMar 21, 2023 to Jul 19, 2023
- Accounts · 380 to 565Jun 7, 2022 to Mar 21, 2023
- Advisory employees · 8 to 6Jun 7, 2022 to Mar 21, 2023
- BD registered reps · 8 to 6Jun 7, 2022 to Mar 21, 2023
- HNW clients · 279 to 276Jun 7, 2022 to Mar 21, 2023
- Individual clients · 98 to 285Jun 7, 2022 to Mar 21, 2023
- Pension plan clients · 2 to 3Jun 7, 2022 to Mar 21, 2023
- Employees · 8 to 6Jun 7, 2022 to Mar 21, 2023
- Other offices · 1 to 0Jun 7, 2022 to Mar 21, 2023
- HNW RAUM · $62.7M to $59.8MJun 7, 2022 to Mar 21, 2023
- Individual RAUM · $16.1M to $86.8MJun 7, 2022 to Mar 21, 2023
- Non-discretionary RAUM · $127M to $195MJun 7, 2022 to Mar 21, 2023
- Pension RAUM · $9.1M to $8.6MJun 7, 2022 to Mar 21, 2023
- RAUM · $127M to $195MJun 7, 2022 to Mar 21, 2023
- Advisory employees · 10 to 8Mar 19, 2021 to Mar 15, 2022
- BD registered reps · 10 to 8Mar 19, 2021 to Mar 15, 2022
- HNW clients · 282 to 279Mar 19, 2021 to Mar 15, 2022
- Individual clients · 95 to 98Mar 19, 2021 to Mar 15, 2022
- Employees · 10 to 8Mar 19, 2021 to Mar 15, 2022
- HNW RAUM · $54.5M to $62.7MMar 19, 2021 to Mar 15, 2022
- Individual RAUM · $18.2M to $16.1MMar 19, 2021 to Mar 15, 2022
- Non-discretionary RAUM · $120M to $127MMar 19, 2021 to Mar 15, 2022
- Pension RAUM · $8.5M to $9.1MMar 19, 2021 to Mar 15, 2022
- RAUM · $120M to $127MMar 19, 2021 to Mar 15, 2022
- Accounts · 352 to 380Jun 30, 2020 to Mar 19, 2021
- HNW clients · 263 to 282Jun 30, 2020 to Mar 19, 2021
- Individual clients · 87 to 95Jun 30, 2020 to Mar 19, 2021
- Pension plan clients · 1 to 2Jun 30, 2020 to Mar 19, 2021
Signals
3 dated events
- J•• C•••••• A••••••• L•• no longer on the SEC adviser roster (last listed 2025-09-02, RAUM $104.7M)Dec 20, 2025 · Left the SEC roster · derived
- J••• F••••••• C•••••• left J•• C•••••• A••••••• L•• for Q••••• W•••• A•••••••• L•• (registered 2026-02-09)Feb 12, 2025 · Advisor changed firm · fact
- C••••• J••••• S••••• left J•• C•••••• A••••••• L•• for Q••••• W•••• A•••••••• L•• (registered 2025-01-23)Jan 27, 2025 · Advisor changed firm · 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
- 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