DFX Intelligence

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J•••••• I••••••••• M••••••••• L••

Former SEC-registered adviserFormer SEC adviser· San Rafael, California

Former SEC-registered adviser, based in San Rafael, California, reporting $597M of regulatory assets.

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

As of 2022-12-09 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: $597M
Advisors: Not applicable
Net advisor flow, 12 months: Not applicable
RAUM change, last fiscal year: +15%
Private clients: 3.0% of RAUM, $17.6M

Advisors Advisor movement Where the RAUM sits

As of 2022-12-09 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Why this matters

Reported RAUM grew +15% over the last fiscal year, to $597M.
2022-12-09
RAUM a year earlier $518MRAUM now $597M

Every filed figure, and the identifiersCRD 145005 · SEC 801-68392 · 19 filingsShow

CRD 145005SEC 801-68392First filing on the tape Feb 15, 2012, latest Dec 9, 2022IAPD

RAUM

$597M

reported, Item 5.F

Discretionary

12%

of RAUM

Private clients

3.0%

$17.6M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

19 filings and snapshots on the tape

RAUM$597M as of Feb 2, 2022

Feb 15, 2012$105M then

HNW client RAUM$17.6M as of Feb 2, 2022

Mar 5, 2018$12.5M then

State-registered IARs (5.B.3)0 as of Feb 2, 2022

Feb 15, 20120 then

Employees (5.A)2 as of Feb 2, 2022

Mar 8, 20133 then

Private funds: no history

RAUM +15% over the last fiscal year+21% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Dec 9, 2022; 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: $2.5MderivedHNW RAUM over HNW clients
Average account: $2.9MderivedRAUM over accounts (5.F.2.f)
Discretionary: 12%derivedof RAUM
Institutional: 97%derivedpensions, 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: +15%derivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: -65%derived
Compensation: percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities: portfolio management for individuals, pension consultingreportedItem 5.G
Ownership: a PE fund or sponsor is a 25 percent or greater owner 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)
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

Pension and profit-sharing plans$578M97%
High-net-worth individuals$17.6M3.0%
Corporations and businesses$770,1110.1%

Individual clients: 0reported
HNW clients: 7reported
Pension plan clients: 169reported
Charitable clients: 0reported
Accounts: 206reported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: noreported
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

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

J••••••• N•••••••• A•••• · Vice Chairman, Vice President, Secretarycontrol
since 09/2022 · owns less than 5%
J••••••• R•••••• A• · Chairman, President, Chief Compliance Officercontrol
since 09/2022 · owns less than 5%

Entity owners

H••••••••• L•• · Owner
direct · owns 75% or more
H• S••••• H•••••••• I••• · Owner
indirect · owns 25% to 50% of H••••••••• L••
S•• R••••••••• S••••••• I•••••••• L•• · Owner
indirect · owns 25% to 50% of H••••••••• L••
S•• R••••••••• S•••••••• L•• · Owner
indirect · owns 25% to 50% of H••••••••• L••
S•• R• I••••••••• H•••••• L•• · Owner
indirect · owns 25% to 50% of H••••••••• L••
S•••• C•••••• B••••••• S••••••• P••••••• F••• I• L••• · Owner
indirect · owns 25% to 50% of H••••••••• L••

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

Boulder, CO1 employees

What changed

consecutive filings, newest first

Succession · true to false
Nov 29, 2022 to Dec 9, 2022
Succession · false to true
Feb 2, 2022 to Nov 29, 2022
Accounts · 188 to 206
Mar 11, 2021 to Feb 2, 2022
HNW clients · 20 to 7
Mar 11, 2021 to Feb 2, 2022
Pension plan clients · 132 to 169
Mar 11, 2021 to Feb 2, 2022
Discretionary RAUM · $70.0M to $69.8M
Mar 11, 2021 to Feb 2, 2022
HNW RAUM · $69.4M to $17.6M
Mar 11, 2021 to Feb 2, 2022
Non-discretionary RAUM · $448M to $527M
Mar 11, 2021 to Feb 2, 2022
Pension RAUM · $448M to $578M
Mar 11, 2021 to Feb 2, 2022
RAUM · $518M to $597M
Mar 11, 2021 to Feb 2, 2022
Accounts · 177 to 188
Oct 22, 2020 to Mar 11, 2021
HNW clients · 15 to 20
Oct 22, 2020 to Mar 11, 2021
Pension plan clients · 161 to 132
Oct 22, 2020 to Mar 11, 2021
Discretionary RAUM · $59.9M to $70.0M
Oct 22, 2020 to Mar 11, 2021
HNW RAUM · $18.4M to $69.4M
Oct 22, 2020 to Mar 11, 2021
Non-discretionary RAUM · $381M to $448M
Oct 22, 2020 to Mar 11, 2021
Pension RAUM · $422M to $448M
Oct 22, 2020 to Mar 11, 2021
RAUM · $441M to $518M
Oct 22, 2020 to Mar 11, 2021
Accounts · 167 to 177
Sep 11, 2019 to Feb 10, 2020
HNW clients · 6 to 15
Sep 11, 2019 to Feb 10, 2020
Pension plan clients · 130 to 161
Sep 11, 2019 to Feb 10, 2020
Discretionary RAUM · $48.2M to $59.9M
Sep 11, 2019 to Feb 10, 2020
HNW RAUM · $17.1M to $18.4M
Sep 11, 2019 to Feb 10, 2020
Non-discretionary RAUM · $286M to $381M
Sep 11, 2019 to Feb 10, 2020
Pension RAUM · $316M to $422M
Sep 11, 2019 to Feb 10, 2020
RAUM · $334M to $441M
Sep 11, 2019 to Feb 10, 2020
Accounts · 140 to 167
Mar 5, 2018 to Mar 4, 2019
Pension plan clients · 129 to 130
Mar 5, 2018 to Mar 4, 2019
Discretionary RAUM · $37.8M to $48.2M
Mar 5, 2018 to Mar 4, 2019
HNW RAUM · $12.5M to $17.1M
Mar 5, 2018 to Mar 4, 2019
Non-discretionary RAUM · $256M to $286M
Mar 5, 2018 to Mar 4, 2019
Pension RAUM · $280M to $316M
Mar 5, 2018 to Mar 4, 2019
RAUM · $294M to $334M
Mar 5, 2018 to Mar 4, 2019
Accounts · 130 to 140
Mar 6, 2017 to Mar 5, 2018
Charity clients · unset to 0.0
Mar 6, 2017 to Mar 5, 2018
Corporate clients · unset to 1.0
Mar 6, 2017 to Mar 5, 2018
HNW clients · unset to 6.0
Mar 6, 2017 to Mar 5, 2018
Individual clients · unset to 0.0
Mar 6, 2017 to Mar 5, 2018
Pension plan clients · unset to 129.0
Mar 6, 2017 to Mar 5, 2018
Pooled vehicle clients · unset to 0.0
Mar 6, 2017 to Mar 5, 2018

Signals

2 dated events

••• Locked
Nov 29, 2022 · Succession (Item 4) · fact
••• Locked
Feb 10, 2020 · RAUM change · derived

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