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
J•••••• L•••• W••••• A•••••••
Legal name J•••••• L••••• I•••
Latest filing Mar 4, 2026
First filing on the tape Apr 5, 2012 · 24 filings
SEC status approved since May 15, 2009
RAUM
$202M
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
92%
$185M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$101M
derived; firm RAUM over IAPD count
Employees
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$202M as of Mar 4, 2026
Apr 5, 2012$138M then
HNW client RAUM$180M as of Mar 4, 2026
Mar 26, 2018$154M then
State-registered IARs (5.B.3)2 as of Mar 4, 2026
Apr 5, 20120 then
Employees (5.A)2 as of Mar 4, 2026
Apr 1, 20137 then
Private funds: no history
RAUM +20% over the last fiscal year+14% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 4, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- $101MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 28derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.9MderivedHNW RAUM over HNW clients
- Average account
- $3.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%derivedof RAUM
- Institutional
- 8.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +3.8%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $7.4M, 6 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$180M89%
- Pension and profit-sharing plans$12.0M6.0%
- Individuals$5.6M2.8%
- Charitable organizations$4.8M2.4%
- Individual clients
- 9reported
- HNW clients
- 46reported
- Pension plan clients
- 1reported
- Charitable clients
- 1reported
- Accounts
- 57reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- $7.4M for 6 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.92 fund_share=0.0 institutional_share=0.08 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R••••• A• L••••Certified Financial Planner | Los Altos, Ca | Dec 17, 2009 | 23 y | 0 |
| R•••••• K•••••••• L••••Certified Financial Planner | Los Altos, Ca | Aug 8, 2025 | 14 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 headcount0 left over 36 months
Left, latest
- J••••••• S•••••• B••• to M••••••••• F•••••••• P•••••••• I•••Nov 20, 2021 · RIA to a state-registered adviser
- P•••••• T••••• G•••••• to W••• F•••••••• A•••••••• I•••Jul 24, 2019 · RIA to RIA
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- L••••• C••••••••• C• · Directorcontrolsince 07/2014 · owns less than 5%
- L••••• R•••••• A• · Shareholder, President, Director & Chief Compliance Officercontrolsince 07/2014 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Los Altos, Ca · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 55 to 57Mar 10, 2025 to Mar 4, 2026
- HNW clients · 42 to 46Mar 10, 2025 to Mar 4, 2026
- Individual clients · 11 to 9Mar 10, 2025 to Mar 4, 2026
- Assets in custody · $13.0M to $7.4MMar 10, 2025 to Mar 4, 2026
- Discretionary RAUM · $158M to $190MMar 10, 2025 to Mar 4, 2026
- HNW RAUM · $148M to $180MMar 10, 2025 to Mar 4, 2026
- Individual RAUM · $5.6M to $5.6MMar 10, 2025 to Mar 4, 2026
- Non-discretionary RAUM · $10.6M to $12.0MMar 10, 2025 to Mar 4, 2026
- Pension RAUM · $9.9M to $12.0MMar 10, 2025 to Mar 4, 2026
- RAUM · $168M to $202MMar 10, 2025 to Mar 4, 2026
- Financial planning clients · 51-100 to 51-100Mar 5, 2025 to Mar 10, 2025
- Accounts · 238 to 55Feb 19, 2024 to Mar 5, 2025
- Advisory employees · 1 to 2Feb 19, 2024 to Mar 5, 2025
- HNW clients · 40 to 42Feb 19, 2024 to Mar 5, 2025
- Individual clients · 12 to 11Feb 19, 2024 to Mar 5, 2025
- Assets in custody · $9.4M to $13.0MFeb 19, 2024 to Mar 5, 2025
- Discretionary RAUM · $145M to $158MFeb 19, 2024 to Mar 5, 2025
- HNW RAUM · $134M to $148MFeb 19, 2024 to Mar 5, 2025
- Individual RAUM · $6.5M to $5.6MFeb 19, 2024 to Mar 5, 2025
- Non-discretionary RAUM · $8.1M to $10.6MFeb 19, 2024 to Mar 5, 2025
- Pension RAUM · $8.1M to $9.9MFeb 19, 2024 to Mar 5, 2025
- RAUM · $153M to $168MFeb 19, 2024 to Mar 5, 2025
- Accounts · 53 to 238Sep 5, 2023 to Feb 19, 2024
- HNW clients · 38 to 40Sep 5, 2023 to Feb 19, 2024
- Individual clients · 13 to 12Sep 5, 2023 to Feb 19, 2024
- Financial planning clients · 26-50 to 51-100Sep 5, 2023 to Feb 19, 2024
- Discretionary RAUM · $128M to $145MSep 5, 2023 to Feb 19, 2024
- HNW RAUM · $117M to $134MSep 5, 2023 to Feb 19, 2024
- Individual RAUM · $7.4M to $6.5MSep 5, 2023 to Feb 19, 2024
- Non-discretionary RAUM · $6.6M to $8.1MSep 5, 2023 to Feb 19, 2024
- Pension RAUM · $6.6M to $8.1MSep 5, 2023 to Feb 19, 2024
- RAUM · $135M to $153MSep 5, 2023 to Feb 19, 2024
- Accounts · 50 to 53Mar 18, 2022 to Mar 27, 2023
- Individual clients · 10 to 13Mar 18, 2022 to Mar 27, 2023
- State-registered IARs · 1 to 2Mar 18, 2022 to Mar 27, 2023
- Discretionary RAUM · $139M to $128MMar 18, 2022 to Mar 27, 2023
- HNW RAUM · $129M to $117MMar 18, 2022 to Mar 27, 2023
- Individual RAUM · $6.3M to $7.4MMar 18, 2022 to Mar 27, 2023
- Non-discretionary RAUM · $7.0M to $6.6MMar 18, 2022 to Mar 27, 2023
- Pension RAUM · $7.0M to $6.6MMar 18, 2022 to Mar 27, 2023
Signals
1 dated events
- Donald Stephen Johnson (Director, Chairman) no longer on Schedule A of J•••••• L•••• W••••• A••••••• (listed 2018-03-26, absent 2019-03-15)Mar 15, 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.
How to reach
public business contact points only, each with its source
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 650-494-2733reportedpublic record, Form ADV, Mar 4, 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
- $101Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026