DFX Intelligence
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Latest filing Mar 30, 2026
First filing on the tape Mar 14, 2012 · 18 filings
SEC status approved since Jul 30, 1975
RAUM
$190M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
79%
$149M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$190M as of Mar 30, 2026
Mar 14, 2012$105M then
HNW client RAUM$149M as of Mar 30, 2026
Mar 28, 2018$98.2M then
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 14, 20120 then
Employees (5.A)1 as of Mar 30, 2026
Mar 28, 20131 then
Private funds: no history
RAUM +16% over the last fiscal year+8.7% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- 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
- $13.6MderivedHNW RAUM over HNW clients
- Average account
- $13.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 21%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
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -27%derived
- Compensation
- percentage of assetsreportedItem 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)
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$149M79%
- Pension and profit-sharing plans$40.6M21%
- Individual clients
- 0reported
- HNW clients
- 11reported
- Pension plan clients
- 2reported
- Charitable clients
- 0reported
- Accounts
- 14reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.79 fund_share=0.0 institutional_share=0.21 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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••• J••••• T• · President, Ceo, Chief Compliance Officercontrolsince 08/1975 · owns 75% or more
- L•••• U•••••• E•••• · Secretarysince 12/2017 · owns less than 5%
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 · 17 to 14Mar 27, 2025 to Mar 30, 2026
- HNW clients · 10 to 11Mar 27, 2025 to Mar 30, 2026
- Individual clients · 5 to 0Mar 27, 2025 to Mar 30, 2026
- Discretionary RAUM · $164M to $190MMar 27, 2025 to Mar 30, 2026
- HNW RAUM · $122M to $149MMar 27, 2025 to Mar 30, 2026
- Individual RAUM · 7324477.0 to unsetMar 27, 2025 to Mar 30, 2026
- Pension RAUM · $33.9M to $40.6MMar 27, 2025 to Mar 30, 2026
- RAUM · $164M to $190MMar 27, 2025 to Mar 30, 2026
- Accounts · 25 to 17Mar 27, 2024 to Mar 27, 2025
- HNW clients · 7 to 10Mar 27, 2024 to Mar 27, 2025
- Individual clients · 9 to 5Mar 27, 2024 to Mar 27, 2025
- Financial planning clients · 0 to 0Mar 27, 2024 to Mar 27, 2025
- HQ city · unset to Mar 27, 2024 to Mar 27, 2025
- HQ state · unset to Mar 27, 2024 to Mar 27, 2025
- Discretionary RAUM · $161M to $164MMar 27, 2024 to Mar 27, 2025
- HNW RAUM · $114M to $122MMar 27, 2024 to Mar 27, 2025
- Individual RAUM · $14.9M to $7.3MMar 27, 2024 to Mar 27, 2025
- Pension RAUM · $31.9M to $33.9MMar 27, 2024 to Mar 27, 2025
- RAUM · $161M to $164MMar 27, 2024 to Mar 27, 2025
- Accounts · 27 to 25Mar 29, 2023 to Mar 27, 2024
- Discretionary RAUM · $148M to $161MMar 29, 2023 to Mar 27, 2024
- HNW RAUM · $101M to $114MMar 29, 2023 to Mar 27, 2024
- Individual RAUM · $16.0M to $14.9MMar 29, 2023 to Mar 27, 2024
- Pension RAUM · $31.1M to $31.9MMar 29, 2023 to Mar 27, 2024
- RAUM · $148M to $161MMar 29, 2023 to Mar 27, 2024
- Accounts · 22 to 27Mar 30, 2022 to Mar 29, 2023
- Individual clients · 13 to 9Mar 30, 2022 to Mar 29, 2023
- Discretionary RAUM · $156M to $148MMar 30, 2022 to Mar 29, 2023
- HNW RAUM · $109M to $101MMar 30, 2022 to Mar 29, 2023
- Individual RAUM · $15.7M to $16.0MMar 30, 2022 to Mar 29, 2023
- Pension RAUM · $31.1M to $31.1MMar 30, 2022 to Mar 29, 2023
- RAUM · $156M to $148MMar 30, 2022 to Mar 29, 2023
- Accounts · 31 to 22Mar 30, 2021 to Mar 29, 2022
- HNW clients · 6 to 7Mar 30, 2021 to Mar 29, 2022
- Individual clients · 11 to 13Mar 30, 2021 to Mar 29, 2022
- Discretionary RAUM · $138M to $156MMar 30, 2021 to Mar 29, 2022
- HNW RAUM · $99.3M to $109MMar 30, 2021 to Mar 29, 2022
- Individual RAUM · $12.7M to $15.7MMar 30, 2021 to Mar 29, 2022
- Pension RAUM · $25.8M to $31.1MMar 30, 2021 to Mar 29, 2022
- RAUM · $138M to $156MMar 30, 2021 to Mar 29, 2022
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
- 818 505-9313reportedpublic record, Form ADV, Mar 30, 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