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.

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Former SEC-registered adviser

S•• J••• A•••• M••••••••• I•••

Former SEC-registered adviserSan J•••, PRCRD 138046SEC 801-65220IAPD
Latest filing Apr 2, 2019
First filing on the tape Mar 30, 2012 · 16 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 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$61.0M as of Mar 28, 2018
Mar 30, 2012$130M then
HNW client RAUM: $8.5M
State-registered IARs (5.B.3)0 as of Mar 28, 2018
Apr 1, 20130 then
Employees (5.A)5 as of Mar 28, 2018
Apr 1, 20135 then
Private funds1 as of Mar 8, 2017
Mar 30, 20121 then
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Apr 2, 2019; 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
unknownderivedHNW RAUM over HNW clients
Average account
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, 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
+1.7%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
n/areported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    1 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    G••••• O••••••••• C•••••• A••••••••• F•••• L••no longer reportedOther Private Fund$2.0M6Mar 30, 2012
    Owners and control persons
    Schedule A and B, latest filing
    • V•••••••• A••••••••• J••• · Presidentcontrol
      since 04/2017 · owns less than 5%
    • B•••••••• N••••• A• · Portfolio Analyst
      since 03/2019 · owns less than 5%
    • B•••••••• N•••••• A••••• · Chief Compliance Officer
      since 03/2019 · owns less than 5%
    Related persons
    Schedule D 7.A
    • A••••• I••••••••• B•••
      n
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 18.0 to unset
      Mar 18, 2019 to Apr 2, 2019
    • Advisory employees · 2 to 1
      Mar 18, 2019 to Apr 2, 2019
    • Advisory activities · 3 to 2
      Mar 18, 2019 to Apr 2, 2019
    • Corporate clients · 1 to 0
      Mar 18, 2019 to Apr 2, 2019
    • HNW clients · 6 to 0
      Mar 18, 2019 to Apr 2, 2019
    • Employees · 5 to 1
      Mar 18, 2019 to Apr 2, 2019
    • Financial planning clients · 0 to unset
      Mar 18, 2019 to Apr 2, 2019
    • Discretionary RAUM · 28850000.0 to unset
      Mar 18, 2019 to Apr 2, 2019
    • HNW RAUM · $8.5M to $0
      Mar 18, 2019 to Apr 2, 2019
    • Individual RAUM · unset to 0.0
      Mar 18, 2019 to Apr 2, 2019
    • Non-discretionary RAUM · 32150000.0 to unset
      Mar 18, 2019 to Apr 2, 2019
    • Pension RAUM · unset to 0.0
      Mar 18, 2019 to Apr 2, 2019
    • Pooled vehicle RAUM · unset to 0.0
      Mar 18, 2019 to Apr 2, 2019
    • RAUM · 61000000.0 to unset
      Mar 18, 2019 to Apr 2, 2019
    • Accounts · 8 to 18
      Oct 23, 2017 to Mar 28, 2018
    • Employees · 4 to 5
      Oct 23, 2017 to Mar 28, 2018
    • Discretionary RAUM · $28.6M to $28.9M
      Oct 23, 2017 to Mar 28, 2018
    • HNW RAUM · $9.3M to $8.5M
      Oct 23, 2017 to Mar 28, 2018
    • Non-discretionary RAUM · $9.3M to $32.1M
      Oct 23, 2017 to Mar 28, 2018
    • RAUM · $37.9M to $61.0M
      Oct 23, 2017 to Mar 28, 2018
    • Accounts · 7 to 8
      Apr 24, 2017 to Oct 23, 2017
    • Charity clients · unset to 0.0
      Apr 24, 2017 to Oct 23, 2017
    • Corporate clients · unset to 1.0
      Apr 24, 2017 to Oct 23, 2017
    • HNW clients · unset to 6.0
      Apr 24, 2017 to Oct 23, 2017
    • Individual clients · unset to 0.0
      Apr 24, 2017 to Oct 23, 2017
    • Pension plan clients · unset to 0.0
      Apr 24, 2017 to Oct 23, 2017
    • Pooled vehicle clients · unset to 0.0
      Apr 24, 2017 to Oct 23, 2017
    • Other offices · unset to 1.0
      Apr 24, 2017 to Oct 23, 2017
    • Discretionary RAUM · $21.0M to $28.6M
      Apr 24, 2017 to Oct 23, 2017
    • HNW RAUM · unset to 9300000.0
      Apr 24, 2017 to Oct 23, 2017
    • Non-discretionary RAUM · $18.0M to $9.3M
      Apr 24, 2017 to Oct 23, 2017
    • RAUM · $39.0M to $37.9M
      Apr 24, 2017 to Oct 23, 2017
    • Accounts · 9 to 7
      Mar 8, 2017 to Apr 24, 2017
    • Assets in custody · 125000.0 to unset
      Mar 8, 2017 to Apr 24, 2017
    • Custody of client assets · true to false
      Mar 8, 2017 to Apr 24, 2017
    • Employees · 3 to 4
      Mar 8, 2017 to Apr 24, 2017
    • Private funds · 1 to unset
      Mar 8, 2017 to Apr 24, 2017
    • Discretionary RAUM · $42.0M to $21.0M
      Mar 8, 2017 to Apr 24, 2017
    • RAUM · $60.0M to $39.0M
      Mar 8, 2017 to Apr 24, 2017
    • Assets in custody · $133,000 to $125,000
      Feb 6, 2017 to Mar 8, 2017
    Signals
    2 dated events
    • Gabriel Viera (Chief Compliance Officer) no longer on Schedule A of S•• J••• A•••• M••••••••• I••• (listed 2019-03-18, absent 2019-04-02)
      Apr 2, 2019 · Control person left · inference
    • H•••••• C••• (Portfolio Manager) no longer on Schedule A of S•• J••• A•••• M••••••••• I••• (listed 2018-03-28, absent 2019-03-18)
      Mar 18, 2019 · Control person left · inference
    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