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•••••••
Legal name J•••••••• F•••••••• A•••••••• I•••
Latest filing Sep 16, 2021
First filing on the tape Dec 22, 2016 · 22 filings
RAUM
$163M
reported, Item 5.F
Discretionary
88%
of RAUM
Private clients
100%
$163M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$163M as of Mar 4, 2021
Mar 1, 2018$136M then
HNW client RAUM$59.7M as of Mar 4, 2021
Mar 1, 2018$81.0M then
State-registered IARs (5.B.3)2 as of Mar 4, 2021
Mar 1, 20182 then
Employees (5.A)4 as of Mar 4, 2021
Mar 1, 20184 then
Private funds: no history
RAUM +6.6% over the last fiscal year+6.1% a year over threeIARs 4 to 2offices 3 to 4
Practice profile
derived from the filing of Sep 16, 2021; every figure names its basis
- RAUM per advisor
- $81.3MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 154derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $223,043derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 88%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 0.4derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- -50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +8.9%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, 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$103M63%
- High-net-worth individuals$59.7M37%
- Individual clients
- 284reported
- HNW clients
- 23reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 729reported
- 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
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- M••• A••• R••••• to C••••••••• W•••••• L••Dec 31, 2021 · RIA to RIA
- G•••• C•••• J•••••••• to C••••••••• W•••••• L••Dec 31, 2021 · RIA to RIA
- S••••••• K••••••• P•••••• to O•• G••••• F•••••••• L••Dec 1, 2020 · RIA to a state-registered adviser
Joined, latest
- M••• A••• R••••• from W•••• F•••• A•••••••Jan 30, 2017 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- G•••• C•••• J•••••••• from W•••• F•••• A•••••••Jan 30, 2017 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for C••••••••• W•••••• L••Dec 31, 2021 · Center, Tx
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- J••••••••• A••• R•••••• · Corporate Officercontrolsince 09/2005 · owns less than 5%
- J••••••••• G••••• C•••• · Chief Executive Officer; Chief Compliance Officercontrolsince 09/2005 · owns less than 5%
- L•••••••• K••••• A•• · Chief Operating Officercontrolsince 01/2014 · owns less than 5%
- R•••••• M•••• A••• · Chief Investment Officercontrolsince 01/2014 · owns less than 5%
- J••••••••• G••••• C•••• · Shareholdercontrolsince 04/2019 · owns 25% to 50% of J•••••••• F•••••••• I•••
- J••••••••• A••• R•••••• · Shareholdersince 04/2019 · owns 25% to 50% of J•••••••• F•••••••• I•••
Entity owners
- J•••••••• F•••••••• I••• · Parent Company/100% Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- J•••••••• B•••••••• S•••••••• L••broker-dealery
Offices
Schedule D 1.F, the 25 largest
- Lake Oswego, OR3 employees
- Beaverton, OR2 employees
- League City, TX2 employees
- Vancouver, WA2 employees
What changed
consecutive filings, newest first
- Insurance-licensed employees · 0 to 2Jun 15, 2021 to Sep 16, 2021
- Succession · true to falseMay 27, 2021 to Jun 15, 2021
- Succession · false to trueApr 16, 2021 to May 27, 2021
- Succession · true to falseMar 4, 2021 to Apr 16, 2021
- Accounts · 724 to 729Oct 19, 2020 to Mar 4, 2021
- Advisory employees · 4 to 2Oct 19, 2020 to Mar 4, 2021
- Corporate clients · 5.0 to unsetOct 19, 2020 to Mar 4, 2021
- HNW clients · 37 to 23Oct 19, 2020 to Mar 4, 2021
- Individual clients · 245 to 284Oct 19, 2020 to Mar 4, 2021
- Pension plan clients · 26.0 to unsetOct 19, 2020 to Mar 4, 2021
- State-registered IARs · 4 to 2Oct 19, 2020 to Mar 4, 2021
- Discretionary RAUM · $132M to $144MOct 19, 2020 to Mar 4, 2021
- HNW RAUM · $70.4M to $59.7MOct 19, 2020 to Mar 4, 2021
- Individual RAUM · $74.6M to $103MOct 19, 2020 to Mar 4, 2021
- Non-discretionary RAUM · $20.6M to $19.1MOct 19, 2020 to Mar 4, 2021
- Pension RAUM · 6153384.0 to unsetOct 19, 2020 to Mar 4, 2021
- RAUM · $153M to $163MOct 19, 2020 to Mar 4, 2021
- Succession · false to trueOct 19, 2020 to Mar 4, 2021
- HQ city · LAKE OSWEGO to unsetJun 25, 2020 to Oct 19, 2020
- HQ state · OR to unsetJun 25, 2020 to Oct 19, 2020
- Other offices · 3 to 4Jun 25, 2020 to Oct 19, 2020
- Accounts · 695 to 724Aug 20, 2019 to Mar 25, 2020
- Advisory employees · 3 to 4Aug 20, 2019 to Mar 25, 2020
- BD registered reps · 3 to 4Aug 20, 2019 to Mar 25, 2020
- Corporate clients · unset to 5.0Aug 20, 2019 to Mar 25, 2020
- HNW clients · 66 to 37Aug 20, 2019 to Mar 25, 2020
- Individual clients · 285 to 245Aug 20, 2019 to Mar 25, 2020
- Pension plan clients · unset to 26.0Aug 20, 2019 to Mar 25, 2020
- State-registered IARs · 3 to 4Aug 20, 2019 to Mar 25, 2020
- Discretionary RAUM · $136M to $132MAug 20, 2019 to Mar 25, 2020
- HNW RAUM · $81.0M to $70.4MAug 20, 2019 to Mar 25, 2020
- Individual RAUM · $55.0M to $74.6MAug 20, 2019 to Mar 25, 2020
- Non-discretionary RAUM · $0 to $20.6MAug 20, 2019 to Mar 25, 2020
- Pension RAUM · unset to 6153384.0Aug 20, 2019 to Mar 25, 2020
- RAUM · $136M to $153MAug 20, 2019 to Mar 25, 2020
- Related broker-dealer · false to trueJan 2, 2019 to Aug 20, 2019
- Advisory employees · 2 to 3Mar 1, 2018 to Apr 26, 2018
- BD registered reps · 2 to 3Mar 1, 2018 to Apr 26, 2018
- State-registered IARs · 2 to 3Mar 1, 2018 to Apr 26, 2018
- Accounts · 644 to 695Aug 31, 2017 to Mar 1, 2018
Signals
2 dated events
- J•••••••• F•••••••• A••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Mar 4, 2021 · Succession (Item 4) · fact
- J•••••••• F•••••••• A••••••• filed its initial SEC registration (Form ADV)Dec 22, 2016 · 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