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••• S• M••••• • C•••••••• I•••

Former SEC-registered adviserLos Angeles, CaliforniaCRD 110816SEC 801-4740IAPD
Latest filing Jun 28, 2022
First filing on the tape Jun 27, 2012 · 19 filings
RAUM
$278M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
91%
$253M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
18
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
5
$7.9M gross assets
History
19 filings and snapshots on the tape
RAUM$278M as of Jun 28, 2022
Jun 27, 2012$159M then
HNW client RAUM$240M as of Jun 28, 2022
Jun 20, 2018$164M then
State-registered IARs (5.B.3)2 as of Jun 28, 2022
Jun 27, 20120 then
Employees (5.A)18 as of Jun 28, 2022
Jun 21, 201322 then
Private funds5 as of Jun 28, 2022
Jun 15, 20165 then
RAUM +6.9% over the last fiscal year+13% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jun 28, 2022; every figure names its basis
RAUM per advisor
$139MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
46derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$5.6MderivedHNW RAUM over HNW clients
Average account
$1.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
5.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
9.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+6.9%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+1.1%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for pooled vehicles, pension consultingreportedItem 5.G
Custody
$133M, 51 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)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$240M86%
  • Charitable organizations$14.7M5.3%
  • Individuals$13.0M4.7%
  • Pooled investment vehicles$7.9M2.8%
  • Pension and profit-sharing plans$1.2M0.4%
  • Corporations and businesses$1.0M0.4%
Individual clients
49reported
HNW clients
43reported
Pension plan clients
1reported
Charitable clients
3reported
Accounts
190reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
$133M for 51 clientsreported
Compensation
% of AUMreported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    6 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    E••••• P••••••• L••Private Equity Fund$5.4M61Jun 28, 2022
    M••••• I•••••••• X•Private Equity Fund$1.6M90Mar 8, 2016
    M••••• I•••••••• I••Private Equity Fund$792,01647Mar 8, 2016
    M••••• I•••••••• I•Private Equity Fund$166,33044Mar 8, 2016
    M••••• I•••••••• V•no longer reportedPrivate Equity Fund$20,17044Mar 8, 2016
    M••••• I•••••••• V•••Private Equity Fund$10,18352Mar 8, 2016
    Owners and control persons
    Schedule A and B, latest filing
    • B•••••• T••••••• D••••• · E.V.P./Director/Tax/Business Management/Corporate Secretarycontrol
      since 12/2010 · owns 10% to 25%
    • L••••••••• G•••• N••• · Chief Compliance Officer/Director/President Investment Divisioncontrol
      since 08/2004 · owns less than 5%
    • M•••••• R•••••• · President/Director/Business Managementcontrol
      since 08/2011 · owns less than 5%
    • O••••••••• S••••• J••• · E.V.P./Director/Business Managementcontrol
      since 06/2000 · owns less than 5%
    • S••••• J••••• · E.V.P./Director/Business Management/Chief Financial Officercontrol
      since 11/2012 · owns 10% to 25%
    Entity owners
    • L••••••••• R•••••••• T•••• D•• 7•••••• · Trust
      direct · owns 10% to 25%
    • M••••• F••••• T•••• D•• 1•••••• · Trust
      direct · owns 10% to 25%
    • S•••• J• O•••••••• T•••• D•• 4•••••• · Trust
      direct · 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 · 187 to 190
      Jun 28, 2021 to Jun 28, 2022
    • HNW clients · 37 to 43
      Jun 28, 2021 to Jun 28, 2022
    • Individual clients · 54 to 49
      Jun 28, 2021 to Jun 28, 2022
    • Pooled vehicle clients · 4 to 5
      Jun 28, 2021 to Jun 28, 2022
    • Assets in custody · $158M to $133M
      Jun 28, 2021 to Jun 28, 2022
    • Employees · 19 to 18
      Jun 28, 2021 to Jun 28, 2022
    • Private funds · 4 to 5
      Jun 28, 2021 to Jun 28, 2022
    • Discretionary RAUM · $260M to $278M
      Jun 28, 2021 to Jun 28, 2022
    • HNW RAUM · $223M to $240M
      Jun 28, 2021 to Jun 28, 2022
    • Individual RAUM · $16.9M to $13.0M
      Jun 28, 2021 to Jun 28, 2022
    • Pension RAUM · $1.2M to $1.2M
      Jun 28, 2021 to Jun 28, 2022
    • Pooled vehicle RAUM · $2.7M to $7.9M
      Jun 28, 2021 to Jun 28, 2022
    • RAUM · $260M to $278M
      Jun 28, 2021 to Jun 28, 2022
    • Accounts · 196 to 187
      Nov 30, 2020 to Jun 28, 2021
    • Advisory employees · 6 to 5
      Nov 30, 2020 to Jun 28, 2021
    • Charity clients · 2 to 3
      Nov 30, 2020 to Jun 28, 2021
    • HNW clients · 36 to 37
      Nov 30, 2020 to Jun 28, 2021
    • Individual clients · 59 to 54
      Nov 30, 2020 to Jun 28, 2021
    • Assets in custody · $114M to $158M
      Nov 30, 2020 to Jun 28, 2021
    • Employees · 22 to 19
      Nov 30, 2020 to Jun 28, 2021
    • Discretionary RAUM · $181M to $260M
      Nov 30, 2020 to Jun 28, 2021
    • HNW RAUM · $155M to $223M
      Nov 30, 2020 to Jun 28, 2021
    • Individual RAUM · $12.3M to $16.9M
      Nov 30, 2020 to Jun 28, 2021
    • Pension RAUM · $754,272 to $1.2M
      Nov 30, 2020 to Jun 28, 2021
    • Pooled vehicle RAUM · $5.1M to $2.7M
      Nov 30, 2020 to Jun 28, 2021
    • RAUM · $181M to $260M
      Nov 30, 2020 to Jun 28, 2021
    • Accounts · 195 to 196
      Jun 10, 2019 to Jun 19, 2020
    • HNW clients · 34 to 36
      Jun 10, 2019 to Jun 19, 2020
    • Individual clients · 49 to 59
      Jun 10, 2019 to Jun 19, 2020
    • Assets in custody · $119M to $114M
      Jun 10, 2019 to Jun 19, 2020
    • Discretionary RAUM · $191M to $181M
      Jun 10, 2019 to Jun 19, 2020
    • HNW RAUM · $164M to $155M
      Jun 10, 2019 to Jun 19, 2020
    • Individual RAUM · $11.2M to $12.3M
      Jun 10, 2019 to Jun 19, 2020
    • Pension RAUM · $814,502 to $754,272
      Jun 10, 2019 to Jun 19, 2020
    • Pooled vehicle RAUM · $5.3M to $5.1M
      Jun 10, 2019 to Jun 19, 2020
    • RAUM · $191M to $181M
      Jun 10, 2019 to Jun 19, 2020
    • Accounts · 194 to 195
      Jun 20, 2018 to Jun 10, 2019
    • HNW clients · 37 to 34
      Jun 20, 2018 to Jun 10, 2019
    • Individual clients · 44 to 49
      Jun 20, 2018 to Jun 10, 2019
    • Pooled vehicle clients · 5 to 4
      Jun 20, 2018 to Jun 10, 2019
    Signals
    2 dated events
    • G••• L••••••••• left J••• S• M••••• • C•••••••• I••• for L•••••••• C••••••• L•• (registered 2022-11-09)
      Nov 17, 2022 · Advisor changed firm · fact
    • Gene Torncello (V.P./Real Estate) no longer on Schedule A of J••• S• M••••• • C•••••••• I••• (listed 2020-11-30, absent 2021-06-28)
      Jun 28, 2021 · Control person left · inference
    Across DFX
    shared identifiers only, never a name match
    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