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
A••••••• R••••••••• S••••••••• L••
Latest filing Mar 24, 2026
First filing on the tape Jun 23, 2022 · 6 filings
SEC status approved since Jul 22, 2022
RAUM
$272M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$272M
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
6 filings and snapshots on the tape
RAUM$272M as of Mar 24, 2026
Jan 27, 2023$150M then
HNW client RAUM$0 as of Mar 24, 2026
Jan 27, 2023$0 then
State-registered IARs (5.B.3)1 as of Mar 24, 2026
Jan 27, 20231 then
Employees (5.A)1 as of Mar 24, 2026
Jan 27, 20231 then
Private funds: no history
RAUM +13% over the last fiscal year+22% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 24, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $272MderivedRAUM 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
- $5.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%derivedof RAUM
- Institutional
- 100%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
- +13%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
- fixed fees, otherreportedItem 5.E
- Advisory activities
- 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
- compensates persons for client referrals (8.G.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$272M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 50reported
- Charitable clients
- 0reported
- Accounts
- 50reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixedreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=1.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••••• M•••••• J•••• | San Jose, Ca | Jun 30, 2017 | 36 y | 5 |
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
- J•••••• M•••••• J•••• from U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••Jun 30, 2017 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- J••••• J••••••• M•••••• · Managing Member And Chief Compliance Officercontrolsince 09/2012 · 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.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Mar 24, 2026discretionary share of RAUM of 0% against a peer median of 100% (108 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: institutional managers, $100M to $500M (108) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 41 to 50Feb 12, 2025 to Feb 24, 2026
- Pension plan clients · 41 to 50Feb 12, 2025 to Feb 24, 2026
- Non-discretionary RAUM · $241M to $272MFeb 12, 2025 to Feb 24, 2026
- Pension RAUM · $241M to $272MFeb 12, 2025 to Feb 24, 2026
- RAUM · $241M to $272MFeb 12, 2025 to Feb 24, 2026
- Accounts · 44 to 41Feb 21, 2024 to Feb 12, 2025
- Pension plan clients · 44 to 41Feb 21, 2024 to Feb 12, 2025
- Financial planning clients · unset to Feb 21, 2024 to Feb 12, 2025
- HQ city · unset to Feb 21, 2024 to Feb 12, 2025
- HQ state · unset to Feb 21, 2024 to Feb 12, 2025
- Non-discretionary RAUM · $196M to $241MFeb 21, 2024 to Feb 12, 2025
- Pension RAUM · $196M to $241MFeb 21, 2024 to Feb 12, 2025
- RAUM · $196M to $241MFeb 21, 2024 to Feb 12, 2025
- Accounts · 42 to 44Jan 27, 2023 to Feb 21, 2024
- Pension plan clients · 42 to 44Jan 27, 2023 to Feb 21, 2024
- Non-discretionary RAUM · $150M to $196MJan 27, 2023 to Feb 21, 2024
- Pension RAUM · $150M to $196MJan 27, 2023 to Feb 21, 2024
- RAUM · $150M to $196MJan 27, 2023 to Feb 21, 2024
- Accounts · 41 to 42Jun 23, 2022 to Jan 27, 2023
- Pension plan clients · 41 to 42Jun 23, 2022 to Jan 27, 2023
- Non-discretionary RAUM · $157M to $150MJun 23, 2022 to Jan 27, 2023
- Pension RAUM · $157M to $150MJun 23, 2022 to Jan 27, 2023
- RAUM · $157M to $150MJun 23, 2022 to Jan 27, 2023
Signals
1 dated events
- A••••••• R••••••••• S••••••••• L•• filed its initial SEC registration (Form ADV)Jun 23, 2022 · 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
- w••.a•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 408-691-1115reportedpublic record, Form ADV, Mar 24, 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
- Institutional managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $272Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026