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•••• • A••••••••• P•••••• F•••••••• S••••••••
Legal name J•••• • A••••••••• P•••••• F•••••••• S••••••••• L••
Latest filing Apr 27, 2026
First filing on the tape Nov 5, 2020 · 24 filings
SEC status approved since Dec 7, 2020
RAUM
$227M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$227M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$114M
derived; firm RAUM over IAPD count
Employees
3
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$227M as of Apr 27, 2026
Mar 12, 2021$126M then
HNW client RAUM$87.0M as of Apr 27, 2026
Mar 12, 2021$31.5M then
State-registered IARs (5.B.3)2 as of Apr 27, 2026
Mar 12, 20214 then
Employees (5.A)3 as of Apr 27, 2026
Mar 12, 20215 then
Private funds: no history
RAUM +16% over the last fiscal year+21% a year over threeIARs 2 to 2offices 1 to 0
Practice profile
derived from the filing of Apr 27, 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
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $114MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 261derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.7MderivedHNW RAUM over HNW clients
- Average account
- $166,252derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.4%derived
- Compensation
- percentage of assets, hourly, fixed fees, otherreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$140M62%
- High-net-worth individuals$87.0M38%
- Individual clients
- 469reported
- HNW clients
- 52reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1,368reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=1.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| S••••• J••• Y••••• | Jacksonville, Or | Jun 28, 2010 | 21 y | 0 |
| N••••••• E•••• J••••Certified Financial Planner | Jacksonville, Or | Sep 22, 2020 | 22 y | 1 |
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
none on the tape
Joined, latest
- N••••••• E•••• J•••• from M••••• S•••••• D• I•••Sep 22, 2020 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- J••••• N•••••••• E•••• · Principal/Ccocontrolsince 01/2021 · owns 75% or more
- J••••• K•••• · Cfosince 11/2018 · owns less than 5%
Related persons
Schedule D 7.A
- N••••••• J••••real estatey
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Jacksonville, Or · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,356 to 1,368Feb 2, 2026 to Apr 27, 2026
- HNW clients · 53 to 52Feb 2, 2026 to Apr 27, 2026
- Individual clients · 466 to 469Feb 2, 2026 to Apr 27, 2026
- Other offices · 1 to 0Feb 2, 2026 to Apr 27, 2026
- Discretionary RAUM · $222M to $227MFeb 2, 2026 to Apr 27, 2026
- HNW RAUM · $87.0M to $87.0MFeb 2, 2026 to Apr 27, 2026
- Individual RAUM · $135M to $140MFeb 2, 2026 to Apr 27, 2026
- RAUM · $222M to $227MFeb 2, 2026 to Apr 27, 2026
- Accounts · 1,355 to 1,356Mar 11, 2025 to Feb 2, 2026
- HNW clients · 41 to 53Mar 11, 2025 to Feb 2, 2026
- Individual clients · 468 to 466Mar 11, 2025 to Feb 2, 2026
- Pension plan clients · 27.0 to unsetMar 11, 2025 to Feb 2, 2026
- Financial planning clients · 11-25 to 26-50Mar 11, 2025 to Feb 2, 2026
- Discretionary RAUM · $196M to $222MMar 11, 2025 to Feb 2, 2026
- HNW RAUM · $68.0M to $87.0MMar 11, 2025 to Feb 2, 2026
- Individual RAUM · $128M to $135MMar 11, 2025 to Feb 2, 2026
- Non-discretionary RAUM · $917,366 to $0Mar 11, 2025 to Feb 2, 2026
- Pension RAUM · 763934.0 to unsetMar 11, 2025 to Feb 2, 2026
- RAUM · $197M to $222MMar 11, 2025 to Feb 2, 2026
- Financial planning clients · 11-25 to 11-25Mar 3, 2025 to Mar 11, 2025
- HQ city · MEDFORD to JACKSONVILLEMar 3, 2025 to Mar 11, 2025
- Other offices · 0 to 1Mar 3, 2025 to Mar 11, 2025
- Advisory employees · 3 to 2Jan 16, 2025 to Mar 3, 2025
- Employees · 4 to 3Jan 16, 2025 to Mar 3, 2025
- State-registered IARs · 3 to 2Jan 16, 2025 to Mar 3, 2025
- Accounts · 1,395 to 1,355Jan 16, 2024 to Jan 16, 2025
- Advisory activities · 3 to 4Jan 16, 2024 to Jan 16, 2025
- HNW clients · 29 to 41Jan 16, 2024 to Jan 16, 2025
- Individual clients · 470 to 468Jan 16, 2024 to Jan 16, 2025
- Pension plan clients · unset to 27.0Jan 16, 2024 to Jan 16, 2025
- Financial planning clients · 0 to 11-25Jan 16, 2024 to Jan 16, 2025
- Discretionary RAUM · $161M to $196MJan 16, 2024 to Jan 16, 2025
- HNW RAUM · $44.0M to $68.0MJan 16, 2024 to Jan 16, 2025
- Individual RAUM · $120M to $128MJan 16, 2024 to Jan 16, 2025
- Non-discretionary RAUM · $3.8M to $917,366Jan 16, 2024 to Jan 16, 2025
- Pension RAUM · unset to 763934.0Jan 16, 2024 to Jan 16, 2025
- RAUM · $164M to $197MJan 16, 2024 to Jan 16, 2025
- Accounts · 1,258 to 1,395Oct 10, 2023 to Jan 16, 2024
- HNW clients · 22 to 29Oct 10, 2023 to Jan 16, 2024
- Individual clients · 460 to 470Oct 10, 2023 to Jan 16, 2024
Signals
2 dated events
- Herstle David J•••• (Managing Member/Chief Compliance Officer) no longer on Schedule A of J•••• • A••••••••• P•••••• F•••••••• S•••••••• (listed 2021-10-29, absent 2022-02-17)Feb 17, 2022 · Control person left · inference
- J•••• • A••••••••• P•••••• F•••••••• S•••••••• filed its initial SEC registration (Form ADV)Nov 5, 2020 · 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
- J••••CARES.ORGreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 541-500-4321reportedpublic record, Form ADV, Apr 27, 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
- $114Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026