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.
SEC-registered adviser
Jdl Advisers
Legal name J.Derek Lewis & Associates, Inc.
Latest filing Aug 6, 2026
First filing on the tape Nov 30, 2011 · 46 filings
SEC status approved since Dec 4, 2006
RAUM
$2.3B
reported, Item 5.F
Discretionary
92%
of RAUM
Private clients
83%
$1.9B individuals and HNW
Advisors
12
registered through the firm on IAPD
RAUM per advisor
$190M
derived; firm RAUM over IAPD count
Employees
10
10 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
46 filings and snapshots on the tape
RAUM$2.3B as of Aug 6, 2026
Nov 30, 2011$252M then
HNW client RAUM$1.1B as of Aug 6, 2026
Nov 29, 2017$298M then
State-registered IARs (5.B.3)10 as of Aug 6, 2026
Nov 30, 20110 then
Employees (5.A)10 as of Aug 6, 2026
Dec 7, 20128 then
Private funds: no history
RAUM +28% over the last fiscal year+22% a year over threeIARs 11 to 10
Practice profile
derived from the filing of Aug 6, 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
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- RAUM per advisor
- $190MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 641derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $769,998derivedHNW RAUM over HNW clients
- Average account
- $286,614derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 92%derivedof RAUM
- Institutional
- 12%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.8derivedItem 5.A over advisors
- Advisors per office
- 12.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +28%derivedbetween the last two annual amendments
- Advisor growth, one year
- -9.1%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.7%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.1B47%
- Individuals$832M37%
- Pension and profit-sharing plans$167M7.3%
- Charitable organizations$113M5.0%
- Corporations and businesses$73.8M3.2%
- Other investment advisers$31.2M1.4%
- Individual clients
- 6,315reported
- HNW clients
- 1,376reported
- Pension plan clients
- 77reported
- Charitable clients
- 100reported
- Accounts
- 7,943reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.83 fund_share=0.01 institutional_share=0.12 related_bd=true related_bank=false bd_reps=7.0derived
Advisors registered through the firm
12 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Kelly Allan Dunagan | Newport Beach, Ca | Aug 25, 2005 | 22 y | 0 |
| Kathryn Elizabeth Espinili | Newport Beach, Ca | May 24, 2006 | 35 y | 0 |
| Rion James Dalby | Newport Beach, Ca | Oct 11, 2006 | 20 y | 0 |
| Robert Wayne Knutsen | Newport Beach, Ca | Jun 20, 2011 | 17 y | 2 |
| Reny Vessela M Greenleaf | Newport Beach, Ca | May 19, 2014 | 18 y | 0 |
| Douglas Glenn HyepockChartered Financial Consultant | Newport Beach, Ca | May 26, 2014 | 33 y | 0 |
| Andrew Joseph VidalCertified Financial Planner | Newport Beach, Ca | Feb 22, 2018 | 12 y | 0 |
| Mark Anthony Ferdi | Newport Beach, Ca | Aug 16, 2019 | 19 y | 0 |
| Joshua James Henslick | Newport Beach, Ca | Jun 22, 2023 | 14 y | 0 |
| Diana Theresa Labruna | Newport Beach, Ca | Apr 4, 2024 | 13 y | 0 |
| Pierce Maxwell Kramer | Newport Beach, Ca | Sep 22, 2025 | 12 y | 0 |
| Jessica Viale | Newport Beach, Ca | Feb 11, 2026 | 13 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- Blaine Robbi Carver to Hightower Advisors, LLCFeb 13, 2023 · RIA to affiliated broker-dealer or bank
- Edward Tandy Mcglasson to Certuity, LLCSep 7, 2017 · Other
- Debera Hansen-Aiken to Northwestern Mutual Investment Services,LLCSep 15, 2014 · Other
- Robert Wayne Knutsen to Harbinger Asset Management, LLCSep 17, 2010 · Other
- Christine Marie Bennett to Idaho TrustAug 15, 2007 · Other
- Joe Louis Caligiuri to LPL Financial LLCAug 30, 2006 · Other
Joined, latest
- Jessica Viale from Merrill Lynch, Pierce, Fenner & Smith IncorporatedFeb 11, 2026 · Wirehouse to independent RIA
- Blaine Robbi Carver from Marsjewett Financial GroupMay 3, 2022 · RIA to RIA
- Edward Tandy Mcglasson from Green Street Advisors, LLCSep 4, 2013 · Other
- Robert Wayne Knutsen from Harbinger Asset Management, LLCJun 20, 2011 · Other
- Debera Hansen-Aiken from Cetera Advisor Networks LLCNov 19, 2010 · Other
- Christine Marie Bennett from Comerica SecuritiesJun 2, 2006 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Elizabeth Kathryn Espinili · Chief Compliance Officercontrolsince 09/2007 · owns 5% to 10%
- M Reny Vessela Greenleaf · Chief Financial Officercontrolsince 08/2008 · owns 5% to 10%
- Wayne Robert Knutsen · Chief Executive Officercontrolsince 01/2014 · owns 10% to 25%
- Derek John Lewis · Founder, Directorcontrolsince 08/1980 · owns 25% to 50%
- James Rion Dalby · Financial Adviser, Ownersince 01/2014 · owns 5% to 10%
- Allan Kelly Dunagan · Financial Adviser, Ownersince 09/2011 · owns 10% to 25%
- Anthony Mark Ferdi · Financial Adviser, Ownersince 05/2022 · owns 5% to 10%
- Glenn Douglas Hyepock · Financial Adviser, Ownersince 09/2011 · owns 10% to 25%
- Joseph Andrew Vidal · Corporate Secretarysince 01/2023 · owns 10% to 25%
Related persons
Schedule D 7.A
- Jdl Securities Corporationbroker-dealery
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Newport Beach, Ca · principal | 12 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- unusually high clients per advisorStatic outlier · filing Aug 6, 2026private clients per advisor of 640.9 against a peer median of 64.5 (1151 comparable advisers, 99.0th percentile, 14.1 robust deviations)peers: independent wealth managers, $1B to $5B (1,151) · 99% percentile
- control person changedChange between filings · filing Aug 6, 2026LEWIS, JOHN, DEREK (FOUNDER, DIRECTOR) left Schedule A between the filings of 2023-12-01 and 2026-08-06peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Business name · J.DEREK LEWIS & ASSOCIATES, INC. to JDL ADVISERSMar 26, 2026 to May 1, 2026
- Accounts · 7,459 to 7,943Oct 2, 2025 to Mar 26, 2026
- Advisory employees · 11 to 10Oct 2, 2025 to Mar 26, 2026
- BD registered reps · 8 to 7Oct 2, 2025 to Mar 26, 2026
- Charity clients · 103 to 100Oct 2, 2025 to Mar 26, 2026
- Corporate clients · 38 to 49Oct 2, 2025 to Mar 26, 2026
- HNW clients · 1,078 to 1,376Oct 2, 2025 to Mar 26, 2026
- Individual clients · 6,133 to 6,315Oct 2, 2025 to Mar 26, 2026
- Pension plan clients · 74 to 77Oct 2, 2025 to Mar 26, 2026
- Employees · 11 to 10Oct 2, 2025 to Mar 26, 2026
- State-registered IARs · 11 to 10Oct 2, 2025 to Mar 26, 2026
- Discretionary RAUM · $1.6B to $2.1BOct 2, 2025 to Mar 26, 2026
- HNW RAUM · $711M to $1.1BOct 2, 2025 to Mar 26, 2026
- Individual RAUM · $758M to $832MOct 2, 2025 to Mar 26, 2026
- Non-discretionary RAUM · $213M to $171MOct 2, 2025 to Mar 26, 2026
- Pension RAUM · $138M to $167MOct 2, 2025 to Mar 26, 2026
- RAUM · $1.8B to $2.3BOct 2, 2025 to Mar 26, 2026
- BD registered reps · 9 to 8Jul 11, 2025 to Oct 2, 2025
- Financial planning clients · 0 to 0Jul 11, 2025 to Oct 2, 2025
- Accounts · 7,513 to 7,459Aug 23, 2024 to Nov 25, 2024
- Advisory employees · 10 to 11Aug 23, 2024 to Nov 25, 2024
- Charity clients · 94 to 103Aug 23, 2024 to Nov 25, 2024
- Corporate clients · 26 to 38Aug 23, 2024 to Nov 25, 2024
- HNW clients · 839 to 1,078Aug 23, 2024 to Nov 25, 2024
- Individual clients · 6,450 to 6,133Aug 23, 2024 to Nov 25, 2024
- Pension plan clients · 69 to 74Aug 23, 2024 to Nov 25, 2024
- Employees · 10 to 11Aug 23, 2024 to Nov 25, 2024
- State-registered IARs · 10 to 11Aug 23, 2024 to Nov 25, 2024
- Discretionary RAUM · $1.3B to $1.6BAug 23, 2024 to Nov 25, 2024
- HNW RAUM · $491M to $711MAug 23, 2024 to Nov 25, 2024
- Individual RAUM · $719M to $758MAug 23, 2024 to Nov 25, 2024
- Non-discretionary RAUM · $173M to $213MAug 23, 2024 to Nov 25, 2024
- Pension RAUM · $112M to $138MAug 23, 2024 to Nov 25, 2024
- RAUM · $1.5B to $1.8BAug 23, 2024 to Nov 25, 2024
- Accounts · 6,979 to 7,513Dec 12, 2022 to Dec 1, 2023
- Advisory employees · 9 to 10Dec 12, 2022 to Dec 1, 2023
- Charity clients · 89 to 94Dec 12, 2022 to Dec 1, 2023
- Corporate clients · 22 to 26Dec 12, 2022 to Dec 1, 2023
- HNW clients · 769 to 839Dec 12, 2022 to Dec 1, 2023
- Individual clients · 5,995 to 6,450Dec 12, 2022 to Dec 1, 2023
Signals
9 dated events
- Diana Theresa Labruna added a GA registration at Jdl AdvisersSep 16, 2026 · New state registration · fact
- Diana Theresa Labruna added a NC registration at Jdl AdvisersAug 12, 2026 · New state registration · fact
- Diana Theresa Labruna added a HI registration at Jdl AdvisersAug 10, 2026 · New state registration · fact
- Diana Theresa Labruna added a ID registration at Jdl AdvisersAug 5, 2026 · New state registration · fact
- Jdl Advisers reported RAUM $2.3B, up 28% from $1.8B (2025-10-02 to 2026-03-26)Mar 26, 2026 · RAUM change · derived
- Anthony Mark Ferdi (Financial Adviser/Owner) appeared on Schedule A of Jdl AdvisersDec 1, 2023 · Control person joined · fact
- Blaine Robbi Carver left Jdl Advisers for Hightower Advisors, Llc (registered 2025-01-01)Feb 13, 2023 · Advisor changed firm · fact
- Jdl Advisers reported RAUM $1.4B, up 34% from $1.0B (2021-05-21 to 2021-11-30)Nov 30, 2021 · RAUM change · derived
- Jdl Advisers reported RAUM $1.0B, up 28% from $799.2M (2020-07-20 to 2020-11-23)Nov 23, 2020 · RAUM change · derived
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 email
- info@jdla-advisers.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 949-752-9096reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 555-555-5555reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/2863752reportedpublic record, Form ADV, Sep 18, 2026
- Website
- JDLA-ADVISERS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 949-752-9096reportedpublic record, Form ADV, Aug 6, 2026
- Team page
- jdla-advisers.com/our-teamreportedpublished by the firm, firm site, Sep 15, 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
- $190Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026