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
Jlfranklin Wealth Planning
Legal name Jlfranklin Wealth Planning, LLC
Latest filing Mar 5, 2024
First filing on the tape Jun 20, 2017 · 11 filings
RAUM
$201M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$201M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$201M as of Mar 5, 2024
Mar 26, 2018$122M then
HNW client RAUM$199M as of Mar 5, 2024
Mar 26, 2018$121M then
State-registered IARs (5.B.3)2 as of Mar 5, 2024
Mar 26, 20182 then
Employees (5.A)3 as of Mar 5, 2024
Mar 26, 20182 then
Private funds: no history
RAUM +16% over the last fiscal year+7.9% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 5, 2024; every figure names its basis
- RAUM per advisor
- $101MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 24derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.1MderivedHNW RAUM over HNW clients
- Average account
- $923,752derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 0.4derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, publicationsreportedItem 5.G
- Custody
- $40.1M, 32 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$199M99%
- Individuals$2.0M1.0%
- Individual clients
- 9reported
- HNW clients
- 39reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 218reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $40.1M for 32 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
- Joyce Lea Franklin to Mission Wealth Management, LPDec 31, 2024 · RIA to RIA
- Tarren Nathaniel Schaar to Mission Wealth Management, LPDec 31, 2024 · RIA to RIA
Joined, latest
none on the tape
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for Mission Wealth Management, LPDec 31, 2024 · San Rafael, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Lea Joyce Franklin · Managing Member, Lead Advisorcontrolsince 06/1998 · owns 75% or more
- Nathaniel Tarren Schaar · Cco, Wealth Planner, Membercontrolsince 01/2022 · owns less than 5%
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 |
|---|---|---|---|---|---|
| San Rafael, Ca · principal | 0 | 0 | 0 | ||
| San Francisco, Ca | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Palo Alto, CA1 employees
- San Francisco, CA1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 209 to 218Mar 27, 2023 to Mar 5, 2024
- Charity clients · unset to 0.0Mar 27, 2023 to Mar 5, 2024
- Corporate clients · unset to 0.0Mar 27, 2023 to Mar 5, 2024
- HNW clients · 38 to 39Mar 27, 2023 to Mar 5, 2024
- Individual clients · 10 to 9Mar 27, 2023 to Mar 5, 2024
- Pension plan clients · unset to 0.0Mar 27, 2023 to Mar 5, 2024
- Pooled vehicle clients · unset to 0.0Mar 27, 2023 to Mar 5, 2024
- Assets in custody · $33.7M to $40.1MMar 27, 2023 to Mar 5, 2024
- Discretionary RAUM · $173M to $201MMar 27, 2023 to Mar 5, 2024
- HNW RAUM · $171M to $199MMar 27, 2023 to Mar 5, 2024
- Individual RAUM · $1.7M to $2.0MMar 27, 2023 to Mar 5, 2024
- Pension RAUM · unset to 0.0Mar 27, 2023 to Mar 5, 2024
- Pooled vehicle RAUM · unset to 0.0Mar 27, 2023 to Mar 5, 2024
- RAUM · $173M to $201MMar 27, 2023 to Mar 5, 2024
- Accounts · 206 to 209Jan 31, 2022 to Mar 27, 2023
- HNW clients · 37 to 38Jan 31, 2022 to Mar 27, 2023
- Individual clients · 11 to 10Jan 31, 2022 to Mar 27, 2023
- Assets in custody · $38.7M to $33.7MJan 31, 2022 to Mar 27, 2023
- Employees · 4 to 3Jan 31, 2022 to Mar 27, 2023
- Legal name · FRANKLIN, JOYCE LEA to JLFRANKLIN WEALTH PLANNING, LLCJan 31, 2022 to Mar 27, 2023
- Discretionary RAUM · $195M to $173MJan 31, 2022 to Mar 27, 2023
- HNW RAUM · $193M to $171MJan 31, 2022 to Mar 27, 2023
- Individual RAUM · $2.1M to $1.7MJan 31, 2022 to Mar 27, 2023
- RAUM · $195M to $173MJan 31, 2022 to Mar 27, 2023
- Succession · true to falseJan 31, 2022 to Mar 27, 2023
- Accounts · 187 to 206Mar 23, 2021 to Jan 31, 2022
- HNW clients · 35 to 37Mar 23, 2021 to Jan 31, 2022
- Individual clients · 10 to 11Mar 23, 2021 to Jan 31, 2022
- Assets in custody · $28.7M to $38.7MMar 23, 2021 to Jan 31, 2022
- Other offices · 2 to 4Mar 23, 2021 to Jan 31, 2022
- Organization form · Sole Proprietorship to Limited Liability CompanyMar 23, 2021 to Jan 31, 2022
- Discretionary RAUM · $160M to $195MMar 23, 2021 to Jan 31, 2022
- HNW RAUM · $158M to $193MMar 23, 2021 to Jan 31, 2022
- Individual RAUM · $1.9M to $2.1MMar 23, 2021 to Jan 31, 2022
- RAUM · $160M to $195MMar 23, 2021 to Jan 31, 2022
- Succession · false to trueMar 23, 2021 to Jan 31, 2022
- Accounts · 178 to 187Jun 29, 2020 to Mar 23, 2021
- Individual clients · 6 to 10Jun 29, 2020 to Mar 23, 2021
- Assets in custody · $29.0M to $28.7MJun 29, 2020 to Mar 23, 2021
- Employees · 3 to 4Jun 29, 2020 to Mar 23, 2021
Signals
6 dated events
- Tarren Nathaniel Schaar left Jlfranklin Wealth Planning for Mission Wealth Management, Lp (registered 2024-10-29)Dec 31, 2024 · Advisor changed firm · fact
- Joyce Lea Franklin left Jlfranklin Wealth Planning for Mission Wealth Management, Lp (registered 2024-10-29)Dec 31, 2024 · Advisor changed firm · fact
- 2 advisors left Jlfranklin Wealth Planning (San Rafael, CA) for Mission Wealth Management, LP on the same dayDec 31, 2024 · Team lift-out · derived
- Jlfranklin Wealth Planning reported succeeding to the business of Another Adviser (Form ADV Item 4)Jan 31, 2022 · Succession (Item 4) · fact
- Nathaniel Tarren Schaar (Cco, Wealth Planner, Member) appeared on Schedule A of Jlfranklin Wealth PlanningJan 31, 2022 · Control person joined · fact
- Jlfranklin Wealth Planning filed its initial SEC registration (Form ADV)Jun 20, 2017 · 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