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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SEC-registered adviser
D••••• F•••••••• A•••••••• I•••
Latest filing Mar 30, 2026
First filing on the tape Aug 15, 2022 · 11 filings
SEC status approved since Sep 15, 2022
RAUM
$123M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
73%
$89.9M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$41.0M
derived; firm RAUM over IAPD count
Employees
10
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$123M as of Mar 30, 2026
Mar 3, 2023$118M then
HNW client RAUM$64.6M as of Mar 30, 2026
Mar 3, 2023$53.4M then
State-registered IARs (5.B.3)6 as of Mar 30, 2026
Mar 3, 20234 then
Employees (5.A)10 as of Mar 30, 2026
Mar 3, 20237 then
Private funds: no history
RAUM -57% over the last fiscal year+1.3% a year over threeIARs 7 to 6
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $41.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 42derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $711,434derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -57%derivedbetween the last two annual amendments
- Advisor growth, one year
- -14%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -50%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisers, otherreportedItem 5.G
- Custody
- $64.3M, 98 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
- is an insurance broker or agent (6.A.6)
- 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$64.6M53%
- Corporations and businesses$31.5M26%
- Individuals$25.3M21%
- Charitable organizations$1.7M1.4%
- Individual clients
- 104reported
- HNW clients
- 21reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 173reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $64.3M for 98 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.73 fund_share=0.0 institutional_share=0.01 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| A••••• J•••• D•••••Certified Financial Planner | San Diego, Ca | May 8, 2006 | 27 y | 2 |
| J••••• S••••••Certified Financial Planner | San Diego, Ca | Sep 28, 2022 | 18 y | 5 |
| L•••••• D••••• | San Diego, Ca | Jun 26, 2023 | 11 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- G•••• C••••••• to A••••••••• F•••••••• S•••••••• L••May 20, 2025 · RIA to affiliated broker-dealer or bank
- J••• W• J• to C•••••• S••••• • C••• I•••Jul 26, 2023 · RIA to affiliated broker-dealer or bank
Joined, latest
- J••• W• J• from C••••••••• F•••••••• N••••••Sep 28, 2022 · Affiliated broker-dealer or bank to independent RIA
- J••••• S•••••• from C••••••••• F•••••••• N••••••Sep 28, 2022 · Affiliated broker-dealer or bank to independent RIA
- G•••• C••••••• from A••••••••• F•••••••• S•••••••• L••Sep 28, 2022 · Affiliated broker-dealer or bank to independent RIA
- A••••• J•••• D••••• from C••••••••• F•••••••• N••••••May 8, 2006 · Affiliated broker-dealer or bank to independent RIA
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from C••••••••• F•••••••• N••••••Oct 3, 2022 · Murrieta, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D•••••• A•••••• J•••• · President And Ccocontrolsince 01/2004 · owns 50% to 75%
- D•••••• S••••••• L•• · Shareholdercontrolsince 01/2004 · owns 50% to 75%
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 |
|---|---|---|---|---|---|
| Murrieta, Ca · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- client count collapseChange between filings · filing Mar 30, 2026individual and HNW clients (Item 5.D) moved from 252.0 to 125.0 (-50.0%) between the annual amendments of 2025-03-12 and 2026-03-30; the peer median change was +3.0% (3309 comparable advisers, 2.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,309) · 1.6% percentile
- account count collapseChange between filings · filing Mar 30, 2026accounts (Item 5.F.2.f) moved from 303.0 to 173.0 (-43.0%) between the annual amendments of 2025-03-12 and 2026-03-30; the peer median change was +5.0% (3687 comparable advisers, 4.0th percentile of changes)peers: independent wealth managers, $100M to $500M (3,687) · 3.6% percentile
- RAUM down 50 %Change between filings · filing Mar 30, 2026RAUM (Item 5.F) moved from $288,171,244 to $123,078,109 (-57.0%) between the annual amendments of 2025-03-12 and 2026-03-30; the peer median change was +15.0% (4550 comparable advisers, 0.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,550) · 0.3% percentile
What changed
consecutive filings, newest first
- Accounts · 303 to 173Mar 12, 2025 to Mar 30, 2026
- Advisory employees · 7 to 6Mar 12, 2025 to Mar 30, 2026
- Corporate clients · 49 to 46Mar 12, 2025 to Mar 30, 2026
- HNW clients · 49 to 21Mar 12, 2025 to Mar 30, 2026
- Individual clients · 203 to 104Mar 12, 2025 to Mar 30, 2026
- Assets in custody · $9.8M to $64.3MMar 12, 2025 to Mar 30, 2026
- Employees · 11 to 10Mar 12, 2025 to Mar 30, 2026
- State-registered IARs · 7 to 6Mar 12, 2025 to Mar 30, 2026
- Discretionary RAUM · $288M to $123MMar 12, 2025 to Mar 30, 2026
- HNW RAUM · $181M to $64.6MMar 12, 2025 to Mar 30, 2026
- Individual RAUM · $70.5M to $25.3MMar 12, 2025 to Mar 30, 2026
- RAUM · $288M to $123MMar 12, 2025 to Mar 30, 2026
- Accounts · 480 to 303Sep 5, 2024 to Mar 12, 2025
- Advisory employees · 4 to 7Sep 5, 2024 to Mar 12, 2025
- Corporate clients · 41 to 49Sep 5, 2024 to Mar 12, 2025
- HNW clients · 30 to 49Sep 5, 2024 to Mar 12, 2025
- Individual clients · 138 to 203Sep 5, 2024 to Mar 12, 2025
- Assets in custody · $89.7M to $9.8MSep 5, 2024 to Mar 12, 2025
- Employees · 8 to 11Sep 5, 2024 to Mar 12, 2025
- Financial planning clients · 51-100 to 51-100Sep 5, 2024 to Mar 12, 2025
- State-registered IARs · 4 to 7Sep 5, 2024 to Mar 12, 2025
- Discretionary RAUM · $165M to $288MSep 5, 2024 to Mar 12, 2025
- HNW RAUM · $86.1M to $181MSep 5, 2024 to Mar 12, 2025
- Individual RAUM · $39.4M to $70.5MSep 5, 2024 to Mar 12, 2025
- RAUM · $165M to $288MSep 5, 2024 to Mar 12, 2025
- Accounts · 182 to 480Jan 19, 2024 to Mar 11, 2024
- Corporate clients · 19 to 41Jan 19, 2024 to Mar 11, 2024
- HNW clients · 21 to 30Jan 19, 2024 to Mar 11, 2024
- Individual clients · 140 to 138Jan 19, 2024 to Mar 11, 2024
- Assets in custody · $62.2M to $89.7MJan 19, 2024 to Mar 11, 2024
- Custody of client assets · false to trueJan 19, 2024 to Mar 11, 2024
- Employees · 7 to 8Jan 19, 2024 to Mar 11, 2024
- Financial planning clients · 26-50 to 51-100Jan 19, 2024 to Mar 11, 2024
- Discretionary RAUM · $118M to $165MJan 19, 2024 to Mar 11, 2024
- HNW RAUM · $53.4M to $86.1MJan 19, 2024 to Mar 11, 2024
- Individual RAUM · $35.1M to $39.4MJan 19, 2024 to Mar 11, 2024
- RAUM · $118M to $165MJan 19, 2024 to Mar 11, 2024
- Accounts · 341 to 182Aug 15, 2022 to Mar 3, 2023
- Corporate clients · 22 to 19Aug 15, 2022 to Mar 3, 2023
- HNW clients · 35 to 21Aug 15, 2022 to Mar 3, 2023
Signals
6 dated events
- D••••• F•••••••• A•••••••• I••• reported RAUM $123.1M, down 57% from $288.2M (2025-03-12 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- G•••• C••••••• left D••••• F•••••••• A•••••••• I••• for A••••••••• F•••••••• S•••••••• L•• (registered 2025-06-23)May 20, 2025 · Advisor changed firm · fact
- D••••• F•••••••• A•••••••• I••• reported RAUM $288.2M, up 74% from $165.3M (2024-09-05 to 2025-03-12)Mar 12, 2025 · RAUM change · derived
- J••• W• J• left D••••• F•••••••• A•••••••• I••• for C•••••• S••••• • C••• I••• (registered 2023-09-27)Jul 26, 2023 · Advisor changed firm · fact
- 3 advisors left C••••••••• F•••••••• N•••••• (Murrieta, CA) for D••••• F•••••••• A•••••••• I••• on the same dayOct 3, 2022 · Team lift-out · derived
- D••••• F•••••••• A•••••••• I••• filed its initial SEC registration (Form ADV)Aug 15, 2022 · 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.
How to reach
public business contact points only, each with its source
- Website
- AJD•••••.NETreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 951-677-3960reportedpublic record, Form ADV, Mar 30, 2026
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $41.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026