DFX Intelligence

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L• J•••• I•••••••• F•• W••••• M•••••••••

Former SEC-registered adviserFormer SEC adviser· La J••••, Californiawebsite

Former SEC-registered adviser, based in La J••••, California, reporting $35.0M of regulatory assets across 3 registered advisors.

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

As of 2012-02-21 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: $35.0M
Advisors: 3
Net advisor flow, 12 months: 0
Private clients: 0.0%

See where advisers went See teams that moved

Advisors (3)Where the RAUM sits

As of 2012-02-21 · 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 109340 · SEC 801-57332 · 6 filingsShow

CRD 109340SEC 801-57332Legal name P••••••••• P••••••• C••••••• I•••First filing on the tape Jan 6, 2012, latest Feb 21, 2012IAPD

RAUM

$35.0M

reported, Item 5.F

Discretionary

0.0%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$11.7M

derived; firm RAUM over IAPD count

Employees

n/a

n/a advisory (5.B.1)

Offices

n/a

beyond the principal office

Private funds

reported on Schedule D

History

6 filings and snapshots on the tape

Filed figures over time · the tape starts Jan 6, 2012

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$35.0M as of Feb 21, 2012

Jan 6, 2012$45.0M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Feb 21, 2012

Jan 6, 20120 then

Employees (5.A): no history

Private funds: no history

Practice profile

derived from the filing of Feb 21, 2012; every figure names its basis

The rule behind each archetype, and every derived figureShow

RAUM per advisor: $11.7MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client: unknownderivedHNW RAUM over HNW clients
Average account: $250,000derivedRAUM over accounts (5.F.2.f)
Discretionary: 0.0%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: unknownderivedItem 5.A over advisors
Advisors per office: 3.0derived1 offices 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 assets, hourly, fixed feesreportedItem 5.E
Advisory activities: portfolio management for individualsreportedItem 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)
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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

No Item 5.D breakdown on this filing.

The breakdown by client type, and the client countsShow

This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 140reported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: absent from the latest SEC rosterderived

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 departure Every arrival

Advisors registered through the firm

3 on IAPD today; the longest tenured first

Name	Branch	Here since	In industry
E••• M••••• J••••••	La J••••, Ca	Jan 6, 2025	27 y
M••••• S•••••• J••••••	La J••••, Ca	Oct 27, 2025	36 y
A•••• J••••••	La J••••, Ca	Jan 1, 2026	13 y

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

J••••••• M•••••• S•••••• · President, Ceo & Chief Compliance Officercontrol
since 01/1979 · owns 75% or more

Related persons

Schedule D 7.A

M••••• S• J•••••• I•••
real estatey

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
La J••••, Ca · principal	3	2	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Financial planning clients · 0 to unset
Feb 16, 2012 to Feb 17, 2012
Non-discretionary RAUM · $45.0M to $35.0M
Feb 17, 2012 to Feb 17, 2012
RAUM · $45.0M to $35.0M
Feb 17, 2012 to Feb 17, 2012

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

Website: ••• Lockedreportedpublic record, Form ADV, Mar 30, 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: Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor: $11.7Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026