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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SEC-registered adviser
J••• K••• A•••••••• I•••
Latest filing Mar 25, 2026
First filing on the tape Mar 30, 2012 · 31 filings
SEC status approved since May 23, 2001
RAUM
$890M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$885M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$178M
derived; firm RAUM over IAPD count
Employees
7
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$890M as of Mar 25, 2026
Mar 30, 2012$241M then
HNW client RAUM$531M as of Mar 25, 2026
Mar 29, 2018$360M then
State-registered IARs (5.B.3)5 as of Mar 25, 2026
Mar 30, 20120 then
Employees (5.A)7 as of Mar 25, 2026
Mar 28, 20134 then
Private funds: no history
RAUM +20% over the last fiscal year+16% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Mar 25, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- RAUM per advisor
- $178MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 90derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $617,847derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.4%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, educational seminarsreportedItem 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
- is an insurance broker or agent (6.A.6)
- 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 securities (9.A.1.b)
- a related person has custody of client securities (9.B.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$531M60%
- Individuals$354M40%
- Pension and profit-sharing plans$4.6M0.5%
- Individual clients
- 274reported
- HNW clients
- 174reported
- Pension plan clients
- 4reported
- Charitable clients
- n/areported
- Accounts
- 1,440reported
- Financial planning clients
- 101-250reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.99 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S•••• N•••••• H•••••Certified Financial Planner | Walnut Creek, Ca | May 28, 2012 | 30 y | 1 |
| J••••• W•••••• D••••• | Walnut Creek, Ca | Sep 17, 2012 | 25 y | 2 |
| J•••••• L•• S••••••Certified Financial Planner | Walnut Creek, Ca | Jul 27, 2016 | 17 y | 2 |
| J••••••• G••••••• | Walnut Creek, Ca | Oct 4, 2018 | 15 y | 0 |
| D•••••• R• V•••••• | Walnut Creek, Ca | Jan 4, 2021 | 28 y | 2 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- D•••••• R• V•••••• from A••••• A•• P••••••• S•••••••Jan 4, 2021 · Affiliated broker-dealer or bank to independent RIA
- J•••••• L•• S•••••• from A••••••• I•••••••• C•Jul 27, 2016 · Other
- J••••• W•••••• D••••• from S•••••••• A••••••• L••Sep 17, 2012 · Other
- S•••• N•••••• H••••• from S•••••••• A••••••• L••May 28, 2012 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••• J•••••• W•••••• · Principal, Cco, And Coocontrolsince 01/2017 · owns 25% to 50%
- H•••••• S••••• N•••••• · President, Ceo, And Ciocontrolsince 12/2011 · owns 50% to 75%
- S••••••• J••••••• L•• · Principalsince 01/2020 · owns 10% to 25%
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 |
|---|---|---|---|---|---|
| Walnut Creek, Ca · principal | 5 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Mar 25, 2026financial planning (Item 5.G.1): no on the filing of 2025-03-27, yes on the filing of 2026-03-25peers: independent wealth managers, $500M to $1B (1,482)
What changed
consecutive filings, newest first
- Accounts · 1,394 to 1,440Mar 27, 2025 to Mar 25, 2026
- Advisory activities · 2 to 3Mar 27, 2025 to Mar 25, 2026
- HNW clients · 166 to 174Mar 27, 2025 to Mar 25, 2026
- Individual clients · 259 to 274Mar 27, 2025 to Mar 25, 2026
- Assets in custody · $536M to $663MMar 27, 2025 to Mar 25, 2026
- Discretionary RAUM · $744M to $890MMar 27, 2025 to Mar 25, 2026
- HNW RAUM · $444M to $531MMar 27, 2025 to Mar 25, 2026
- Individual RAUM · $296M to $354MMar 27, 2025 to Mar 25, 2026
- Pension RAUM · $3.7M to $4.6MMar 27, 2025 to Mar 25, 2026
- RAUM · $744M to $890MMar 27, 2025 to Mar 25, 2026
- Accounts · 1,377 to 1,394Mar 20, 2024 to Mar 27, 2025
- HNW clients · 170 to 166Mar 20, 2024 to Mar 27, 2025
- Assets in custody · $413M to $536MMar 20, 2024 to Mar 27, 2025
- Financial planning clients · 0 to 101-250Mar 20, 2024 to Mar 27, 2025
- Discretionary RAUM · $654M to $744MMar 20, 2024 to Mar 27, 2025
- HNW RAUM · $391M to $444MMar 20, 2024 to Mar 27, 2025
- Individual RAUM · $260M to $296MMar 20, 2024 to Mar 27, 2025
- Pension RAUM · $3.1M to $3.7MMar 20, 2024 to Mar 27, 2025
- RAUM · $654M to $744MMar 20, 2024 to Mar 27, 2025
- Accounts · 1,310 to 1,377Mar 28, 2023 to Mar 20, 2024
- HNW clients · 165 to 170Mar 28, 2023 to Mar 20, 2024
- Individual clients · 249 to 259Mar 28, 2023 to Mar 20, 2024
- Assets in custody · $412M to $413MMar 28, 2023 to Mar 20, 2024
- Discretionary RAUM · $576M to $654MMar 28, 2023 to Mar 20, 2024
- HNW RAUM · $343M to $391MMar 28, 2023 to Mar 20, 2024
- Individual RAUM · $230M to $260MMar 28, 2023 to Mar 20, 2024
- Pension RAUM · $2.8M to $3.1MMar 28, 2023 to Mar 20, 2024
- RAUM · $576M to $654MMar 28, 2023 to Mar 20, 2024
- Accounts · 1,286 to 1,310Mar 16, 2022 to Mar 28, 2023
- Corporate clients · 1.0 to unsetMar 16, 2022 to Mar 28, 2023
- Individual clients · 227 to 249Mar 16, 2022 to Mar 28, 2023
- Pension plan clients · 5 to 4Mar 16, 2022 to Mar 28, 2023
- Assets in custody · $413M to $412MMar 16, 2022 to Mar 28, 2023
- Financial planning clients · unset to 0Mar 16, 2022 to Mar 28, 2023
- Discretionary RAUM · $665M to $576MMar 16, 2022 to Mar 28, 2023
- HNW RAUM · $394M to $343MMar 16, 2022 to Mar 28, 2023
- Individual RAUM · $263M to $230MMar 16, 2022 to Mar 28, 2023
- Pension RAUM · $4.1M to $2.8MMar 16, 2022 to Mar 28, 2023
- RAUM · $665M to $576MMar 16, 2022 to Mar 28, 2023
- Accounts · 1,316 to 1,286Feb 9, 2021 to Jan 28, 2022
Signals
1 dated events
- Patrick James King (Founder And Chairman) no longer on Schedule A of J••• K••• A•••••••• I••• (listed 2021-02-09, absent 2022-01-28)Jan 28, 2022 · Control person left · inference
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
- Business phone
- 925-935-1555reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 925-935-1555reportedpublic record, Form ADV, Mar 25, 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
- $178Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026