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.

Former SEC-registered adviser

Financial Telesis, Inc.

Former SEC-registered adviserSan Rafael, CaliforniaCRD 31012SEC 801-63974IAPD
Legal name Jhw Financial Services Inc.
Latest filing Dec 3, 2014
First filing on the tape Mar 28, 2012 · 12 filings
RAUM
$324M
reported, Item 5.F
Discretionary
0.0%
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
215
203 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$324M as of Mar 31, 2014
Mar 28, 2012$207M then
HNW client RAUM: no history
State-registered IARs (5.B.3)203 as of Mar 31, 2014
Mar 28, 20120 then
Employees (5.A)215 as of Mar 31, 2014
Mar 26, 2013226 then
Private funds: no history
RAUM +24% over the last fiscal yearIARs 214 to 203
Practice profile
derived from the filing of Dec 3, 2014; every figure names its basis
RAUM per advisor
$1.6MderivedRAUM 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
$294,732derivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.1derivedItem 5.A over advisors
Advisors per office
203.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+24%derivedbetween the last two annual amendments
Advisor growth, one year
-5.1%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 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 a broker-dealer (6.A.1)
  • is an insurance broker or agent (6.A.6)
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
1,100reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourly, commissionsreported
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
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Elizabeth Sarah Collins · Senior Vp, Municipal Principalcontrol
    since 07/2005 · owns less than 5%
  • James Houston Williams · President, Cfo, Finopcontrol
    since 11/1992 · owns 75% or more
  • Cosmo Charles Gould · Cco
    since 10/2012 · owns less than 5%
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
  • Related adviser · true to false
    Mar 31, 2014 to Dec 3, 2014
  • Accounts · 1,092 to 1,100
    Oct 21, 2013 to Mar 31, 2014
  • Advisory employees · 214 to 203
    Oct 21, 2013 to Mar 31, 2014
  • BD registered reps · 214 to 203
    Oct 21, 2013 to Mar 31, 2014
  • Employees · 226 to 215
    Oct 21, 2013 to Mar 31, 2014
  • Insurance-licensed employees · 88 to 130
    Oct 21, 2013 to Mar 31, 2014
  • State-registered IARs · 214 to 203
    Oct 21, 2013 to Mar 31, 2014
  • Non-discretionary RAUM · $262M to $324M
    Oct 21, 2013 to Mar 31, 2014
  • RAUM · $262M to $324M
    Oct 21, 2013 to Mar 31, 2014
  • Accounts · 850 to 1,092
    Jan 2, 2013 to Mar 26, 2013
  • Advisory employees · 190 to 214
    Jan 2, 2013 to Mar 26, 2013
  • Advisory activities · 4 to 5
    Jan 2, 2013 to Mar 26, 2013
  • BD registered reps · 190 to 214
    Jan 2, 2013 to Mar 26, 2013
  • Employees · 200 to 226
    Jan 2, 2013 to Mar 26, 2013
  • State-registered IARs · 190 to 214
    Jan 2, 2013 to Mar 26, 2013
  • Non-discretionary RAUM · $207M to $262M
    Jan 2, 2013 to Mar 26, 2013
  • RAUM · $207M to $262M
    Jan 2, 2013 to Mar 26, 2013
  • Related adviser · false to true
    Jan 2, 2013 to Mar 26, 2013
  • Related broker-dealer · false to true
    Jan 2, 2013 to Mar 26, 2013
  • Advisory employees · unset to 190.0
    May 22, 2012 to Nov 20, 2012
  • BD registered reps · unset to 190.0
    May 22, 2012 to Nov 20, 2012
  • Employees · unset to 200.0
    May 22, 2012 to Nov 20, 2012
  • State-registered IARs · 0 to 190
    May 22, 2012 to Nov 20, 2012
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
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026