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••••••• F•••••••• A•••••••• I•••

Former SEC-registered adviserCampbell, CaliforniaCRD 159244SEC 801-79190IAPD
Latest filing Mar 3, 2022
First filing on the tape Jan 18, 2012 · 26 filings
RAUM
$484M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$478M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$484M as of Mar 3, 2022
Feb 10, 2015$134M then
HNW client RAUM$408M as of Mar 3, 2022
Jan 31, 2018$240M then
State-registered IARs (5.B.3)1 as of Mar 3, 2022
Feb 10, 20152 then
Employees (5.A)5 as of Mar 3, 2022
Feb 10, 20157 then
Private funds: no history
RAUM +24% over the last fiscal year+22% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 3, 2022; every figure names its basis
RAUM per advisor
$484MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
295derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.7MderivedHNW RAUM over HNW clients
Average account
$580,499derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
5.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+24%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+3.9%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individualsreportedItem 5.G
Custody
$400M, 252 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$408M84%
  • Individuals$70.2M14%
  • Corporations and businesses$5.7M1.2%
Individual clients
141reported
HNW clients
154reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
834reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
$400M for 252 clientsreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • T•• L••••• M• · Chief Compliance Officercontrol
    since 01/2015 · owns 10% to 25%
  • J•••••••• D••••• L••••• · Trusteecontrol
    since 09/2011 · owns 75% or more of T•• J••••••• F••••• T••••
Entity owners
  • T•• J••••••• F••••• T•••• · Owner
    direct · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 764 to 834
    Feb 24, 2021 to Mar 3, 2022
  • HNW clients · 127 to 154
    Feb 24, 2021 to Mar 3, 2022
  • Individual clients · 157 to 141
    Feb 24, 2021 to Mar 3, 2022
  • Assets in custody · $344M to $400M
    Feb 24, 2021 to Mar 3, 2022
  • Discretionary RAUM · $390M to $484M
    Feb 24, 2021 to Mar 3, 2022
  • HNW RAUM · $306M to $408M
    Feb 24, 2021 to Mar 3, 2022
  • Individual RAUM · $78.1M to $70.2M
    Feb 24, 2021 to Mar 3, 2022
  • RAUM · $390M to $484M
    Feb 24, 2021 to Mar 3, 2022
  • Accounts · 778 to 764
    Jun 23, 2020 to Feb 24, 2021
  • Advisory employees · 2 to 1
    Jun 23, 2020 to Feb 24, 2021
  • Corporate clients · unset to 2.0
    Jun 23, 2020 to Feb 24, 2021
  • HNW clients · 143 to 127
    Jun 23, 2020 to Feb 24, 2021
  • Individual clients · 133 to 157
    Jun 23, 2020 to Feb 24, 2021
  • Assets in custody · $107M to $344M
    Jun 23, 2020 to Feb 24, 2021
  • Employees · 7 to 5
    Jun 23, 2020 to Feb 24, 2021
  • State-registered IARs · 2 to 1
    Jun 23, 2020 to Feb 24, 2021
  • Discretionary RAUM · $343M to $390M
    Jun 23, 2020 to Feb 24, 2021
  • HNW RAUM · $288M to $306M
    Jun 23, 2020 to Feb 24, 2021
  • Individual RAUM · $55.2M to $78.1M
    Jun 23, 2020 to Feb 24, 2021
  • RAUM · $343M to $390M
    Jun 23, 2020 to Feb 24, 2021
  • Accounts · 752 to 778
    Mar 14, 2019 to Feb 13, 2020
  • Advisory employees · 3 to 2
    Mar 14, 2019 to Feb 13, 2020
  • BD registered reps · 3 to 2
    Mar 14, 2019 to Feb 13, 2020
  • HNW clients · 91 to 143
    Mar 14, 2019 to Feb 13, 2020
  • Individual clients · 184 to 133
    Mar 14, 2019 to Feb 13, 2020
  • Assets in custody · unset to 107164560.0
    Mar 14, 2019 to Feb 13, 2020
  • Custody of client assets · false to true
    Mar 14, 2019 to Feb 13, 2020
  • Employees · 8 to 7
    Mar 14, 2019 to Feb 13, 2020
  • Financial planning clients · 0 to 1-10
    Mar 14, 2019 to Feb 13, 2020
  • State-registered IARs · 3 to 2
    Mar 14, 2019 to Feb 13, 2020
  • Discretionary RAUM · $265M to $343M
    Mar 14, 2019 to Feb 13, 2020
  • HNW RAUM · $183M to $288M
    Mar 14, 2019 to Feb 13, 2020
  • Individual RAUM · $81.8M to $55.2M
    Mar 14, 2019 to Feb 13, 2020
  • RAUM · $265M to $343M
    Mar 14, 2019 to Feb 13, 2020
  • Related insurance company · false to true
    Mar 14, 2019 to Feb 13, 2020
  • Accounts · 731 to 752
    Feb 28, 2018 to Mar 14, 2019
  • HNW clients · 140 to 91
    Feb 28, 2018 to Mar 14, 2019
  • Individual clients · 140 to 184
    Feb 28, 2018 to Mar 14, 2019
  • Employees · 7 to 8
    Feb 28, 2018 to Mar 14, 2019
  • Financial planning clients · 1-10 to 0
    Feb 28, 2018 to Mar 14, 2019
Signals
2 dated events
  • D•••• L••••• J••••••• left J••••••• F•••••••• A•••••••• I••• for A••••••• F••••••••• L••• (registered 2022-02-01)
    Feb 1, 2022 · Advisor changed firm · fact
  • J••••••• F•••••••• A•••••••• I••• filed its initial SEC registration (Form ADV)
    Feb 4, 2014 · 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.
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