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••••••• W••••• A•••••••• L••

Former SEC-registered adviserPhoenix, ArizonaCRD 310350SEC 801-119406IAPD
Latest filing Feb 8, 2021
First filing on the tape Aug 6, 2020 · 6 filings
RAUM
$2.8M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$2.8M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
2 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$2.8M as of Feb 8, 2021
Dec 4, 2020$2.8M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Feb 8, 2021
Aug 6, 20200 then
Employees (5.A)2 as of Feb 8, 2021
Aug 6, 20201 then
Private funds: no history
Practice profile
derived from the filing of Feb 8, 2021; every figure names its basis
RAUM per advisor
$1.4MderivedRAUM 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
$163,413derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, 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
  • 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
  • Individuals$2.8M100%
Individual clients
17reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
17reported
Financial planning clients
1-10reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, 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
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • B•••••• J•••• A••••• · Chief Financial Officercontrol
    since 03/2018 · owns less than 5%
  • P•••••• M••••• W•••••• · President, Chief Compliance Officercontrol
    since 08/2020 · owns less than 5%
  • R•••••••• B••••• S•••• · Shareholdercontrol
    since 03/2018 · owns 25% to 50% of J•••••••• I•••
Entity owners
  • J•••••••• I••• · J•••••••• I•••
    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
  • Advisory employees · 1 to 2
    Dec 4, 2020 to Jan 12, 2021
  • Advisory activities · 3 to 5
    Dec 4, 2020 to Jan 12, 2021
  • Insurance-licensed employees · 1 to 0
    Dec 4, 2020 to Jan 12, 2021
  • Financial planning clients · 0 to 1-10
    Dec 4, 2020 to Jan 12, 2021
  • State-registered IARs · 1 to 2
    Dec 4, 2020 to Jan 12, 2021
  • Accounts · unset to 17.0
    Oct 2, 2020 to Dec 4, 2020
  • Advisory employees · 0 to 1
    Oct 2, 2020 to Dec 4, 2020
  • BD registered reps · 1 to 2
    Oct 2, 2020 to Dec 4, 2020
  • Individual clients · unset to 17.0
    Oct 2, 2020 to Dec 4, 2020
  • Employees · 1 to 2
    Oct 2, 2020 to Dec 4, 2020
  • Insurance-licensed employees · 0 to 1
    Oct 2, 2020 to Dec 4, 2020
  • State-registered IARs · 0 to 1
    Oct 2, 2020 to Dec 4, 2020
  • Discretionary RAUM · unset to 2778023.0
    Oct 2, 2020 to Dec 4, 2020
  • Individual RAUM · unset to 2778023.0
    Oct 2, 2020 to Dec 4, 2020
  • Non-discretionary RAUM · unset to 0.0
    Oct 2, 2020 to Dec 4, 2020
  • RAUM · unset to 2778023.0
    Oct 2, 2020 to Dec 4, 2020
  • Financial planning clients · unset to 0
    Aug 6, 2020 to Sep 16, 2020
Signals
2 dated events
  • H•••• W••• left J••••••• W••••• A•••••••• L•• for J••••••• W••••• S••••••••• L•• (registered 2021-11-19)
    Jun 15, 2022 · Advisor changed firm · fact
  • J••••••• W••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
    Aug 6, 2020 · 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