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
Fjy Financial
Legal name Fjy Financial, LLC
Latest filing Apr 1, 2022
First filing on the tape Feb 13, 2012 · 23 filings
RAUM
$757M
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
94%
$711M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
11
11 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$757M as of Mar 29, 2022
Feb 13, 2012$313M then
HNW client RAUM$704M as of Mar 29, 2022
Feb 27, 2018$483M then
State-registered IARs (5.B.3)8 as of Mar 29, 2022
Feb 13, 20120 then
Employees (5.A)11 as of Mar 29, 2022
Mar 26, 20139 then
Private funds: no history
RAUM +17% over the last fiscal year+15% a year over threeIARs 6 to 8offices 1 to 2
Practice profile
derived from the filing of Apr 1, 2022; every figure names its basis
- RAUM per advisor
- $94.6MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 47derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $386,682derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%derivedof RAUM
- Institutional
- 6.1%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.4derivedItem 5.A over advisors
- Advisors per office
- 2.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- +33%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $49.6M, 84 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
- 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$704M93%
- Pension and profit-sharing plans$45.1M6.0%
- Individuals$6.8M0.9%
- Charitable organizations$886,5390.1%
- Individual clients
- 38reported
- HNW clients
- 339reported
- Pension plan clients
- 20reported
- Charitable clients
- n/areported
- Accounts
- 1,958reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $49.6M for 84 clientsreported
- Compensation
- % of AUM, fixedreported
- 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
- Jon P Yankee to Cerity Partners LLCJul 1, 2022 · RIA to RIA
- Suzanne Alexis Grason to Cerity Partners LLCJul 1, 2022 · RIA to RIA
- Onari Songo Tariah to Cerity Partners LLCJul 1, 2022 · RIA to RIA
- Michael Alan Ness to Cerity Partners LLCJul 1, 2022 · RIA to RIA
- Laurie Adams Belew to Cerity Partners LLCJul 1, 2022 · RIA to RIA
- Kelly Mcnerney to Cerity Partners LLCJul 1, 2022 · RIA to RIA
- Katherine Krause to Cerity Partners LLCJul 1, 2022 · RIA to RIA
- Franklin Philip Gould to Capital Client Group, Inc.Jan 25, 2022 · Other
- Tess Lanae Downing to Complete View Financial LLCOct 3, 2018 · RIA to a state-registered adviser
- Candace Marita Lee to Glassman Wealth Services, LLCJul 31, 2017 · Other
- Melissa H Taro to Lumina Financial Consultants, LLCApr 21, 2017 · Other
- Daniel Dryden Joss to Covenant Wealth Management, Ltd Dba Covenant Wealth AdvisorsJul 1, 2014 · Other
Joined, latest
- Onari Songo Tariah from Morgan StanleyDec 22, 2021 · Wirehouse to independent RIA
- Suzanne Alexis Grason from Ameriprise Financial Services, LLCSep 4, 2018 · Affiliated broker-dealer or bank to independent RIA
- Michael Alan Ness from Fieldstone Financial Management Group, LLCJul 31, 2017 · Other
- Melissa H Taro from Sbsb Financial AdvisorsOct 27, 2014 · Other
- Jon P Yankee from Rembert Pendleton JacksonFeb 9, 2006 · Other
- Daniel Dryden Joss from Rembert Pendleton JacksonFeb 9, 2006 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for Cerity Partners LLCJul 1, 2022 · Midland, Tx
- 5 left for Cerity Partners LLCJul 1, 2022 · Reston, Va · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Dewayne Larry Adams · Membercontrolsince 07/2014 · owns 10% to 25%
- Adams Laurie Belew · Member/Coocontrolsince 11/2014 · owns 10% to 25%
- A. Rachelle Newman · Chief Compliance Officercontrolsince 03/2022 · owns less than 5%
- P Jon Yankee · Member/Ceocontrolsince 01/2006 · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Midland, TX4 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 1,834 to 1,958Mar 29, 2021 to Mar 29, 2022
- Advisory employees · 10 to 11Mar 29, 2021 to Mar 29, 2022
- HNW clients · 355 to 339Mar 29, 2021 to Mar 29, 2022
- Individual clients · unset to 38.0Mar 29, 2021 to Mar 29, 2022
- Pension plan clients · 21 to 20Mar 29, 2021 to Mar 29, 2022
- Assets in custody · $204M to $49.6MMar 29, 2021 to Mar 29, 2022
- State-registered IARs · 6 to 8Mar 29, 2021 to Mar 29, 2022
- Other offices · 1 to 2Mar 29, 2021 to Mar 29, 2022
- Discretionary RAUM · $607M to $712MMar 29, 2021 to Mar 29, 2022
- HNW RAUM · $598M to $704MMar 29, 2021 to Mar 29, 2022
- Individual RAUM · unset to 6832739.0Mar 29, 2021 to Mar 29, 2022
- Non-discretionary RAUM · $40.8M to $45.4MMar 29, 2021 to Mar 29, 2022
- Pension RAUM · $49.1M to $45.1MMar 29, 2021 to Mar 29, 2022
- RAUM · $648M to $757MMar 29, 2021 to Mar 29, 2022
- Accounts · 1,719 to 1,834Oct 22, 2020 to Mar 29, 2021
- Advisory employees · 11 to 10Oct 22, 2020 to Mar 29, 2021
- HNW clients · 320 to 355Oct 22, 2020 to Mar 29, 2021
- Individual clients · 18.0 to unsetOct 22, 2020 to Mar 29, 2021
- Pension plan clients · 17 to 21Oct 22, 2020 to Mar 29, 2021
- Assets in custody · $189M to $204MOct 22, 2020 to Mar 29, 2021
- Employees · 12 to 11Oct 22, 2020 to Mar 29, 2021
- Discretionary RAUM · $541M to $607MOct 22, 2020 to Mar 29, 2021
- HNW RAUM · $526M to $598MOct 22, 2020 to Mar 29, 2021
- Individual RAUM · 4799980.0 to unsetOct 22, 2020 to Mar 29, 2021
- Non-discretionary RAUM · $35.7M to $40.8MOct 22, 2020 to Mar 29, 2021
- Pension RAUM · $44.7M to $49.1MOct 22, 2020 to Mar 29, 2021
- RAUM · $576M to $648MOct 22, 2020 to Mar 29, 2021
- Accounts · 1,425 to 1,719Mar 15, 2019 to Mar 25, 2020
- Advisory employees · 10 to 11Mar 15, 2019 to Mar 25, 2020
- Charity clients · 8.0 to unsetMar 15, 2019 to Mar 25, 2020
- HNW clients · 318 to 320Mar 15, 2019 to Mar 25, 2020
- Individual clients · unset to 18.0Mar 15, 2019 to Mar 25, 2020
- Pension plan clients · 16 to 17Mar 15, 2019 to Mar 25, 2020
- Assets in custody · $39.6M to $189MMar 15, 2019 to Mar 25, 2020
- State-registered IARs · 7 to 6Mar 15, 2019 to Mar 25, 2020
- Discretionary RAUM · $446M to $541MMar 15, 2019 to Mar 25, 2020
- HNW RAUM · $453M to $526MMar 15, 2019 to Mar 25, 2020
- Individual RAUM · unset to 4799980.0Mar 15, 2019 to Mar 25, 2020
- Non-discretionary RAUM · $46.9M to $35.7MMar 15, 2019 to Mar 25, 2020
- Pension RAUM · $30.7M to $44.7MMar 15, 2019 to Mar 25, 2020
Signals
12 dated events
- Onari Songo Tariah left Fjy Financial for Cerity Partners Llc (registered 2022-06-14)Jul 1, 2022 · Advisor changed firm · fact
- Katherine Krause left Fjy Financial for Cerity Partners Llc (registered 2022-06-14)Jul 1, 2022 · Advisor changed firm · fact
- Kelly Mcnerney left Fjy Financial for Cerity Partners Llc (registered 2022-06-14)Jul 1, 2022 · Advisor changed firm · fact
- Jon P Yankee left Fjy Financial for Cerity Partners Llc (registered 2022-06-14)Jul 1, 2022 · Advisor changed firm · fact
- Michael Alan Ness left Fjy Financial for Cerity Partners Llc (registered 2022-06-14)Jul 1, 2022 · Advisor changed firm · fact
- Laurie Adams Belew left Fjy Financial for Cerity Partners Llc (registered 2022-06-14)Jul 1, 2022 · Advisor changed firm · fact
- Suzanne Alexis Grason left Fjy Financial for Cerity Partners Llc (registered 2022-06-14)Jul 1, 2022 · Advisor changed firm · fact
- Fjy Financial's advisors moved to Cerity Partners LLC (Reston, VA): 6 of 7 registered, on the same dayJul 1, 2022 · Firm absorbed (people side) · derived
- 2 advisors left Fjy Financial (Midland, TX) for Cerity Partners LLC on the same dayJul 1, 2022 · Team lift-out · derived
- A. Rachelle Newman (Chief Compliance Officer) appeared on Schedule A of Fjy FinancialMar 29, 2022 · Control person joined · fact
- Franklin Philip Gould left Fjy Financial for Capital Client Group, Inc. (registered 2022-04-01)Jan 25, 2022 · Advisor changed firm · fact
- Laws Marjorie Fox (Managing Member) no longer on Schedule A of Fjy Financial (listed 2018-02-27, absent 2019-01-09)Jan 9, 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