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.

Former SEC-registered adviser

Jurika, Mills & Keifer, LLC

Former SEC-registered adviserLafayette, CaliforniaCRD 126825SEC 801-112830IAPD
Latest filing Mar 14, 2023
First filing on the tape Mar 30, 2012 · 16 filings
RAUM
$282M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$281M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$282M as of Mar 14, 2023
Mar 30, 2012$50.5M then
HNW client RAUM$260M as of Mar 14, 2023
Feb 14, 2019$100M then
State-registered IARs (5.B.3)0 as of Mar 14, 2023
Mar 30, 20120 then
Employees (5.A)4 as of Mar 14, 2023
Feb 14, 20193 then
Private funds: no history
RAUM -5.9% over the last fiscal year+16% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 14, 2023; every figure names its basis
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
$4.7MderivedHNW RAUM over HNW clients
Average account
$930,891derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-5.9%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
+9.3%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, selection of other advisersreportedItem 5.G
Custody
$83.7M, 20 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$260M92%
  • Individuals$20.9M7.4%
  • Charitable organizations$940,0000.3%
Individual clients
39reported
HNW clients
55reported
Pension plan clients
n/areported
Charitable clients
1reported
Accounts
303reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
$83.7M for 20 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
Left, latest
Joined, latest
none on the tape
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Shawn Mikel Keifer · Vice President, Chief Compliance Officercontrol
        since 02/2011 · owns 10% to 25%
      • Olof Karl Mills · President, Managing Membercontrol
        since 02/2011 · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • San Francisco, CA
      What changed
      consecutive filings, newest first
      • Accounts · 261 to 303
        Mar 31, 2022 to Mar 14, 2023
      • HNW clients · 47 to 55
        Mar 31, 2022 to Mar 14, 2023
      • Assets in custody · $107M to $83.7M
        Mar 31, 2022 to Mar 14, 2023
      • Discretionary RAUM · $300M to $282M
        Mar 31, 2022 to Mar 14, 2023
      • HNW RAUM · $278M to $260M
        Mar 31, 2022 to Mar 14, 2023
      • Individual RAUM · $20.8M to $20.9M
        Mar 31, 2022 to Mar 14, 2023
      • RAUM · $300M to $282M
        Mar 31, 2022 to Mar 14, 2023
      • Accounts · 196 to 261
        Nov 1, 2021 to Mar 31, 2022
      • Advisory activities · 2 to 3
        Nov 1, 2021 to Mar 31, 2022
      • HNW clients · 42 to 47
        Nov 1, 2021 to Mar 31, 2022
      • Individual clients · 31 to 39
        Nov 1, 2021 to Mar 31, 2022
      • Assets in custody · $96.3M to $107M
        Nov 1, 2021 to Mar 31, 2022
      • Employees · 3 to 4
        Nov 1, 2021 to Mar 31, 2022
      • Financial planning clients · 1-10 to 11-25
        Nov 1, 2021 to Mar 31, 2022
      • Discretionary RAUM · $233M to $300M
        Nov 1, 2021 to Mar 31, 2022
      • HNW RAUM · $218M to $278M
        Nov 1, 2021 to Mar 31, 2022
      • Individual RAUM · $14.7M to $20.8M
        Nov 1, 2021 to Mar 31, 2022
      • RAUM · $233M to $300M
        Nov 1, 2021 to Mar 31, 2022
      • Accounts · 167 to 196
        Jun 26, 2020 to Mar 30, 2021
      • HNW clients · 43 to 42
        Jun 26, 2020 to Mar 30, 2021
      • Individual clients · 26 to 31
        Jun 26, 2020 to Mar 30, 2021
      • Assets in custody · $39.7M to $96.3M
        Jun 26, 2020 to Mar 30, 2021
      • Discretionary RAUM · $179M to $233M
        Jun 26, 2020 to Mar 30, 2021
      • HNW RAUM · $168M to $218M
        Jun 26, 2020 to Mar 30, 2021
      • Individual RAUM · $10.5M to $14.7M
        Jun 26, 2020 to Mar 30, 2021
      • RAUM · $179M to $233M
        Jun 26, 2020 to Mar 30, 2021
      • Advisory activities · 1 to 2
        Mar 30, 2020 to Jun 26, 2020
      • Financial planning clients · 0 to 1-10
        Mar 30, 2020 to Jun 26, 2020
      • Accounts · 129 to 167
        Nov 5, 2019 to Mar 30, 2020
      • HNW clients · 34 to 43
        Nov 5, 2019 to Mar 30, 2020
      • Individual clients · 22 to 26
        Nov 5, 2019 to Mar 30, 2020
      • Assets in custody · $6.1M to $39.7M
        Nov 5, 2019 to Mar 30, 2020
      • Discretionary RAUM · $110M to $179M
        Nov 5, 2019 to Mar 30, 2020
      • HNW RAUM · $100M to $168M
        Nov 5, 2019 to Mar 30, 2020
      • Individual RAUM · $10.0M to $10.5M
        Nov 5, 2019 to Mar 30, 2020
      • RAUM · $110M to $179M
        Nov 5, 2019 to Mar 30, 2020
      • Accounts · 57 to 129
        Feb 14, 2019 to Mar 27, 2019
      • Accounts · 56 to 57
        Jan 4, 2019 to Feb 14, 2019
      • HNW clients · 33 to 34
        Jan 4, 2019 to Feb 14, 2019
      • Assets in custody · $6.9M to $6.1M
        Jan 4, 2019 to Feb 14, 2019
      Signals
      7 dated events
      • Mikel Shawn Keifer left Jurika, Mills & Keifer, Llc for Cerity Partners Llc (registered 2023-05-02)
        Aug 25, 2023 · Advisor changed firm · fact
      • Karl Olof Mills left Jurika, Mills & Keifer, Llc for Cerity Partners Llc (registered 2025-01-01)
        Aug 25, 2023 · Advisor changed firm · fact
      • 2 advisors left Jurika, Mills & Keifer, LLC (San Francisco, CA) for Cerity Partners LLC on the same day
        Aug 25, 2023 · Team lift-out · derived
      • P Franklin Johnson (Trustee) no longer on Schedule A of Jurika, Mills & Keifer, Llc (listed 2022-03-31, absent 2023-03-14)
        Mar 14, 2023 · Control person left · inference
      • H Catherine Johnson (Trustee) no longer on Schedule A of Jurika, Mills & Keifer, Llc (listed 2022-03-31, absent 2023-03-14)
        Mar 14, 2023 · Control person left · inference
      • Michelle Jurika (Trustee) no longer on Schedule A of Jurika, Mills & Keifer, Llc (listed 2022-03-31, absent 2023-03-14)
        Mar 14, 2023 · Control person left · inference
      • Jurika, Mills & Keifer, Llc filed its initial SEC registration (Form ADV)
        Mar 13, 2018 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      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