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

C-J Advisory, Inc.

Former SEC-registered adviserSan Jose, CaliforniaCRD 133665SEC 801-70334IAPD
Latest filing Apr 18, 2022
First filing on the tape Mar 29, 2012 · 22 filings
RAUM
$251M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
93%
$232M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$251M as of Mar 31, 2022
Mar 29, 2012$109M then
HNW client RAUM$174M as of Mar 31, 2022
Mar 26, 2018$22.0M then
State-registered IARs (5.B.3)4 as of Mar 31, 2022
Mar 29, 20120 then
Employees (5.A)4 as of Mar 31, 2022
Apr 1, 20133 then
Private funds: no history
RAUM +21% over the last fiscal year+8.8% a year over threeIARs 2 to 4
Practice profile
derived from the filing of Apr 18, 2022; every figure names its basis
RAUM per advisor
$62.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
64derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.3MderivedHNW RAUM over HNW clients
Average account
$274,421derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
7.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+21%derivedbetween the last two annual amendments
Advisor growth, one year
+100%derivedItem 5.B.3 between annual amendments
Client growth, one year
-2.3%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Wrap fee program
$252MreportedItem 5.I
Custody
$251M, 251 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$174M69%
  • Individuals$58.3M23%
  • Charitable organizations$13.9M5.6%
  • Pension and profit-sharing plans$4.1M1.6%
  • Corporations and businesses$228,9700.1%
Individual clients
178reported
HNW clients
77reported
Pension plan clients
7reported
Charitable clients
3reported
Accounts
913reported
Financial planning clients
251-500reported
Wrap fee programs
$1.2M sponsored, $0 managedreported
Custody of client assets
$251M for 251 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
Joined, latest
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
    • Raymond Kurt Murphy · Chief Compliance Officercontrol
      since 02/2020 · owns less than 5%
    • Michael Kevin Vandyke · Ownercontrol
      since 09/2016 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 861 to 913
      May 3, 2021 to Mar 31, 2022
    • Advisory employees · 2 to 4
      May 3, 2021 to Mar 31, 2022
    • Charity clients · 4 to 3
      May 3, 2021 to Mar 31, 2022
    • Corporate clients · unset to 2.0
      May 3, 2021 to Mar 31, 2022
    • HNW clients · 68 to 77
      May 3, 2021 to Mar 31, 2022
    • Individual clients · 193 to 178
      May 3, 2021 to Mar 31, 2022
    • Pension plan clients · 8 to 7
      May 3, 2021 to Mar 31, 2022
    • Pooled vehicle clients · 0.0 to unset
      May 3, 2021 to Mar 31, 2022
    • Assets in custody · $208M to $251M
      May 3, 2021 to Mar 31, 2022
    • Employees · 5 to 4
      May 3, 2021 to Mar 31, 2022
    • State-registered IARs · 2 to 4
      May 3, 2021 to Mar 31, 2022
    • Discretionary RAUM · $208M to $251M
      May 3, 2021 to Mar 31, 2022
    • HNW RAUM · $133M to $174M
      May 3, 2021 to Mar 31, 2022
    • Individual RAUM · $58.2M to $58.3M
      May 3, 2021 to Mar 31, 2022
    • Pension RAUM · $3.5M to $4.1M
      May 3, 2021 to Mar 31, 2022
    • RAUM · $208M to $251M
      May 3, 2021 to Mar 31, 2022
    • Wrap assets (sponsor) · $0 to $1.2M
      May 3, 2021 to Mar 31, 2022
    • Accounts · 798 to 861
      Jun 12, 2020 to Mar 16, 2021
    • Advisory employees · 3 to 2
      Jun 12, 2020 to Mar 16, 2021
    • Charity clients · 1 to 4
      Jun 12, 2020 to Mar 16, 2021
    • Corporate clients · 0.0 to unset
      Jun 12, 2020 to Mar 16, 2021
    • HNW clients · 54 to 68
      Jun 12, 2020 to Mar 16, 2021
    • Individual clients · 201 to 193
      Jun 12, 2020 to Mar 16, 2021
    • Pension plan clients · 7 to 8
      Jun 12, 2020 to Mar 16, 2021
    • Assets in custody · $220M to $208M
      Jun 12, 2020 to Mar 16, 2021
    • Employees · 6 to 5
      Jun 12, 2020 to Mar 16, 2021
    • State-registered IARs · 3 to 2
      Jun 12, 2020 to Mar 16, 2021
    • Discretionary RAUM · $220M to $208M
      Jun 12, 2020 to Mar 16, 2021
    • HNW RAUM · $127M to $133M
      Jun 12, 2020 to Mar 16, 2021
    • Individual RAUM · $59.7M to $58.2M
      Jun 12, 2020 to Mar 16, 2021
    • Pension RAUM · $2.5M to $3.5M
      Jun 12, 2020 to Mar 16, 2021
    • RAUM · $220M to $208M
      Jun 12, 2020 to Mar 16, 2021
    • Accounts · 789 to 798
      Feb 12, 2020 to Mar 23, 2020
    • Advisory employees · 2 to 3
      Feb 12, 2020 to Mar 23, 2020
    • Charity clients · 9 to 1
      Feb 12, 2020 to Mar 23, 2020
    • HNW clients · 58 to 54
      Feb 12, 2020 to Mar 23, 2020
    • Individual clients · 199 to 201
      Feb 12, 2020 to Mar 23, 2020
    • Pension plan clients · 5 to 7
      Feb 12, 2020 to Mar 23, 2020
    • Assets in custody · unset to 220338431.0
      Feb 12, 2020 to Mar 23, 2020
    • Custody of client assets · false to true
      Feb 12, 2020 to Mar 23, 2020
    Signals
    5 dated events
    • Kyle Jeffrey Thompson left C-J Advisory, Inc. for Creative Planning Institutional Advisors, Llc (registered 2021-10-15)
      Aug 10, 2022 · Advisor changed firm · fact
    • M Paul Mallory (Chief Compliance Officer) no longer on Schedule A of C-J Advisory, Inc. (listed 2020-02-12, absent 2020-03-23)
      Mar 23, 2020 · Control person left · inference
    • Raymond Kurt Murphy (Chief Compliance Officer) appeared on Schedule A of C-J Advisory, Inc.
      Mar 23, 2020 · Control person joined · fact
    • David Craig Rumler (Chief Compliance Officer) no longer on Schedule A of C-J Advisory, Inc. (listed 2019-01-15, absent 2019-04-01)
      Apr 1, 2019 · Control person left · inference
    • M Paul Mallory (Chief Compliance Officer) appeared on Schedule A of C-J Advisory, Inc.
      Apr 1, 2019 · Control person joined · 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