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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Former SEC-registered adviser
J••• C• F•••• D•• E•••••••• P•••••••• M•••••••••
Latest filing Jun 26, 2019
First filing on the tape Mar 29, 2012 · 15 filings
RAUM
$7.7M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
83%
$6.4M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$7.7M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$7.7M as of Mar 20, 2019
Mar 29, 2012$2.2M then
HNW client RAUM$2.6M as of Mar 20, 2019
Mar 9, 2018$3.8M then
State-registered IARs (5.B.3)1 as of Mar 20, 2019
Mar 27, 20131 then
Employees (5.A)1 as of Mar 20, 2019
Mar 27, 20131 then
Private funds: no history
RAUM -69% over the last fiscal year-14% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jun 26, 2019; every figure names its basis
- RAUM per advisor
- $7.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $427,550derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 17%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -69%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$3.9M50%
- High-net-worth individuals$2.6M33%
- Pension and profit-sharing plans$1.3M17%
- Individual clients
- 6reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- 0reported
- Accounts
- 18reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• C•••••• F••• | Tillamook, Or | Feb 26, 2019 | 28 y | 4 |
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
- L•••• A•• B••••••• to D••••••Dec 31, 2018 · RIA to RIA
- J••• C•••••• F••• to A•••••••• F••• A•••••••• I•••Dec 31, 2018 · Other
Joined, latest
- J••• C•••••• F••• from A•••••••• F••• A•••••••• I•••Feb 26, 2019 · Other
- J••• C•••••• F••• from A•••••••• F••• A•••••••• I•••Jul 16, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- F•••• J•••• C•••••• · Owner, Chief Compliance Officercontrolsince 04/2010 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Advisers that list J••• C• F•••• D•• E•••••••• P•••••••• M••••••••• as a related person
- 150875 y
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 180 to 18Feb 26, 2019 to Mar 20, 2019
- Corporate clients · 1 to 0Feb 26, 2019 to Mar 20, 2019
- HNW clients · 2.0 to unsetFeb 26, 2019 to Mar 20, 2019
- Individual clients · 85 to 6Feb 26, 2019 to Mar 20, 2019
- Pension plan clients · 20.0 to unsetFeb 26, 2019 to Mar 20, 2019
- Discretionary RAUM · $23.2M to $7.7MFeb 26, 2019 to Mar 20, 2019
- HNW RAUM · $3.8M to $2.6MFeb 26, 2019 to Mar 20, 2019
- Individual RAUM · $11.7M to $3.9MFeb 26, 2019 to Mar 20, 2019
- Non-discretionary RAUM · $1.4M to $0Feb 26, 2019 to Mar 20, 2019
- Pension RAUM · $7.1M to $1.3MFeb 26, 2019 to Mar 20, 2019
- RAUM · $24.6M to $7.7MFeb 26, 2019 to Mar 20, 2019
- Related adviser · true to falseFeb 26, 2019 to Mar 20, 2019
- HQ city · LANCASTER to unsetFeb 25, 2019 to Feb 26, 2019
- HQ state · CA to unsetFeb 25, 2019 to Feb 26, 2019
- Accounts · 133 to 180Mar 21, 2017 to Mar 9, 2018
- Charity clients · unset to 0.0Mar 21, 2017 to Mar 9, 2018
- Corporate clients · unset to 1.0Mar 21, 2017 to Mar 9, 2018
- HNW clients · unset to 2.0Mar 21, 2017 to Mar 9, 2018
- Individual clients · unset to 85.0Mar 21, 2017 to Mar 9, 2018
- Pension plan clients · unset to 20.0Mar 21, 2017 to Mar 9, 2018
- Pooled vehicle clients · unset to 0.0Mar 21, 2017 to Mar 9, 2018
- Employees · 2 to 1Mar 21, 2017 to Mar 9, 2018
- HQ city · unset to LANCASTERMar 21, 2017 to Mar 9, 2018
- HQ state · unset to CAMar 21, 2017 to Mar 9, 2018
- Other offices · unset to 0.0Mar 21, 2017 to Mar 9, 2018
- Discretionary RAUM · $16.6M to $23.2MMar 21, 2017 to Mar 9, 2018
- HNW RAUM · unset to 3842370.0Mar 21, 2017 to Mar 9, 2018
- Individual RAUM · unset to 11724503.0Mar 21, 2017 to Mar 9, 2018
- Non-discretionary RAUM · $911,946 to $1.4MMar 21, 2017 to Mar 9, 2018
- Pension RAUM · unset to 7111165.0Mar 21, 2017 to Mar 9, 2018
- Pooled vehicle RAUM · unset to 0.0Mar 21, 2017 to Mar 9, 2018
- RAUM · $17.5M to $24.6MMar 21, 2017 to Mar 9, 2018
- Accounts · 108 to 133Mar 21, 2016 to Mar 21, 2017
- Employees · 1 to 2Mar 21, 2016 to Mar 21, 2017
- Discretionary RAUM · $12.0M to $16.6MMar 21, 2016 to Mar 21, 2017
- Non-discretionary RAUM · $0 to $911,946Mar 21, 2016 to Mar 21, 2017
- RAUM · $12.0M to $17.5MMar 21, 2016 to Mar 21, 2017
- Accounts · 74 to 108Mar 10, 2015 to Mar 21, 2016
- Financial planning clients · unset to 0Mar 10, 2015 to Mar 21, 2016
- Discretionary RAUM · $7.3M to $12.0MMar 10, 2015 to Mar 21, 2016
Signals
No event on the tape.
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
- $7.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026