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STATE REGISTEREDFormer SEC adviser· Woodland Hills, Californiawebsite

State Registered, based in Woodland Hills, California, reporting $80.6M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
$80.6M
Private clients
100%
of RAUM, $80.6M
See where advisers wentSee teams that moved
More
AdvisorsWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. No dated change on record yet.

Every filed figure, and the identifiersCRD 132040 · 1 filingShow
CRD 132040First filing on the tape Sep 14, 2026, latest Sep 14, 2026IAPD
RAUM
$80.6M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$80.6M individuals and HNW
Advisors
n/a
registered through the firm on IAPD
RAUM per advisor
Not computed
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
0 filings and snapshots on the tape

Filed figures over time

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds: no history
Practice profile
derived from the filing of Sep 14, 2026; every figure names its basis
The rule behind each archetype, and every derived figureShow
RAUM per advisor
$40.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$1.8MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 office incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 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
  • 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

65% individuals, 35% high-net-worth individuals

The breakdown by client type, and the client counts2 client typesShow
  • Individuals$52.6M65%
  • High-net-worth individuals$28.1M35%
Individual clients
41reported
HNW clients
n/areported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
44reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
on the IAPD state feed, not SEC-registeredderived
Advisor movement
Left, latest
none on the tape
    Every departureEvery arrival
    Advisors registered through the firm
    2 on IAPD today; the longest tenured first
    NameBranchHere sinceIn industryPrior firms
    J•••••• A••• H••••••Certified Financial Planner, Chartered Financial AnalystWoodland Hills, CaAug 27, 200429 y1
    L••• E•••••• H••••••Certified Financial PlannerWoodland Hills, CaJan 1, 201228 y1
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    No Schedule A on the extract for this adviser.
    Ownership changes
    Schedule A, between consecutive filings
    No owner or control person joined or left between filings on the tape.
    Who runs the funds
    related persons named most often on the Form D filings of the firm's funds
    No Form D related person is on record for this firm's funds.
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Woodland Hills, Ca · principal200
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    One filing, no change to show.
    Signals
    No event on the tape.
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    Web presence
    addresses the firm lists on IAPD today, and the ones its Form ADV filings listed before

    Website (1), Facebook (1) · the addresses open with an account

    How to reach
    public business contact points only, each with its source
    Business email
    ••• Lockedreportedpublished by the firm, firm site, Sep 24, 2026
    Website
    ••• Lockedreportedpublic record, Form ADV, Sep 14, 2026
    Principal office phone
    ••• Lockedreportedpublic record, Form ADV, Sep 14, 2026
    Contact form
    ••• Lockedreportedpublished by the firm, firm site, Sep 24, 2026
    Provenance
    Sources, class rule and load dateForm ADV and IAPD, loaded Sep 15, 2026Show
    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
    STATE REGISTEREDderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    Not computedderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 15, 2026