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••••••• • B•••• W••••• M••••••••• L••

Former SEC-registered adviserPetaluma, CaliforniaCRD 169401SEC 801-78882IAPD
Latest filing Jan 3, 2017
First filing on the tape Nov 25, 2013 · 11 filings
RAUM
$126M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$126M as of Feb 1, 2016
Feb 5, 2015$115M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Feb 1, 2016
Feb 5, 20152 then
Employees (5.A)5 as of Feb 1, 2016
Feb 5, 20154 then
Private funds: no history
RAUM +9.6% over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Jan 3, 2017; every figure names its basis
RAUM per advisor
$63.0MderivedRAUM 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
$198,425derivedRAUM over accounts (5.F.2.f)
Discretionary
93%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.5derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+9.6%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 assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 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)
  • 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
635reported
Financial planning clients
11-25reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
  • B••••• B••••• J•••••• · Managing Member/ Chief Compliance Officercontrol
    since 01/2014 · 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
  • Succession · false to true
    Feb 16, 2016 to Jan 3, 2017
  • Accounts · 513 to 635
    Apr 6, 2015 to Feb 1, 2016
  • Employees · 4 to 5
    Apr 6, 2015 to Feb 1, 2016
  • Financial planning clients · 1-10 to 11-25
    Apr 6, 2015 to Feb 1, 2016
  • Discretionary RAUM · $107M to $117M
    Apr 6, 2015 to Feb 1, 2016
  • Non-discretionary RAUM · $8.5M to $9.0M
    Apr 6, 2015 to Feb 1, 2016
  • RAUM · $115M to $126M
    Apr 6, 2015 to Feb 1, 2016
  • Accounts · 456 to 513
    May 9, 2014 to Feb 5, 2015
  • Financial planning clients · 0 to 1-10
    May 9, 2014 to Feb 5, 2015
  • Discretionary RAUM · $92.4M to $107M
    May 9, 2014 to Feb 5, 2015
  • Non-discretionary RAUM · $8.2M to $8.5M
    May 9, 2014 to Feb 5, 2015
  • RAUM · $101M to $115M
    May 9, 2014 to Feb 5, 2015
  • Accounts · 0 to 456
    Jan 6, 2014 to May 2, 2014
  • Discretionary RAUM · $0 to $92.4M
    Jan 6, 2014 to May 2, 2014
  • Non-discretionary RAUM · $0 to $8.2M
    Jan 6, 2014 to May 2, 2014
  • RAUM · $0 to $101M
    Jan 6, 2014 to May 2, 2014
Signals
2 dated events
  • J••••••• • B•••• W••••• M••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
    Jan 3, 2017 · Succession (Item 4) · fact
  • J••••••• • B•••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
    Nov 25, 2013 · 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