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T•• W••••• C••••••••• L••

Former SEC-registered adviserFormer SEC adviser· Los Angeles, Californiawebsite

Former SEC-registered adviser, based in Los Angeles, California, reporting $19.4M of regulatory assets across 1 registered advisors.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
$19.4M
Form ADV
Advisors
1
IAPD
Net advisor flow, 12 months
0 (0 in, 0 out)
IAPD registration history
RAUM change, last fiscal year
Not applicable
Private clients
86% of RAUM, $16.7M
Form ADV
Advisors (1)Advisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
Every filed figure, and the identifiersCRD 310389 · SEC 801-119434 · 7 filingsShow
CRD 310389SEC 801-119434First filing on the tape Aug 12, 2020, latest Feb 12, 2021IAPD
RAUM
$19.4M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
86%
$16.7M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$19.4M
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
7 filings and snapshots on the tape
RAUM$19.4M as of Feb 12, 2021
Aug 12, 2020$0 then
HNW client RAUM$13.3M as of Feb 12, 2021
Jan 7, 2021$13.3M then
State-registered IARs (5.B.3)1 as of Feb 12, 2021
Aug 12, 20201 then
Employees (5.A)1 as of Feb 12, 2021
Aug 12, 20201 then
Private funds: no history
Practice profile
derived from the filing of Feb 12, 2021; every figure names its basis
RAUM per advisor
$19.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
26derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.7MderivedHNW RAUM over HNW clients
Average account
$183,259derivedRAUM over accounts (5.F.2.f)
Discretionary
97%derivedof RAUM
Institutional
14%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
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, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, 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)
  • has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$13.3M68%
  • Individuals$3.4M18%
  • Pension and profit-sharing plans$2.8M14%
Individual clients
18reported
HNW clients
8reported
Pension plan clients
9reported
Charitable clients
n/areported
Accounts
106reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
J••• M••••••• A••••Certified Financial Planner, Chartered Financial AnalystLos Angeles, CaSep 11, 202011 y2
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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • A••••• J•••• M••••••• · Managing Member And Chief Compliance Officercontrol
      since 09/2020 · 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
    • Accounts · 0 to 106
      Sep 11, 2020 to Jan 7, 2021
    • Advisory activities · 5 to 4
      Sep 11, 2020 to Jan 7, 2021
    • HNW clients · unset to 8.0
      Sep 11, 2020 to Jan 7, 2021
    • Individual clients · unset to 18.0
      Sep 11, 2020 to Jan 7, 2021
    • Pension plan clients · unset to 9.0
      Sep 11, 2020 to Jan 7, 2021
    • Discretionary RAUM · $0 to $18.8M
      Sep 11, 2020 to Jan 7, 2021
    • HNW RAUM · unset to 13267418.0
      Sep 11, 2020 to Jan 7, 2021
    • Individual RAUM · unset to 3402807.0
      Sep 11, 2020 to Jan 7, 2021
    • Non-discretionary RAUM · $0 to $597,298
      Sep 11, 2020 to Jan 7, 2021
    • Pension RAUM · unset to 2755186.0
      Sep 11, 2020 to Jan 7, 2021
    • RAUM · $0 to $19.4M
      Sep 11, 2020 to Jan 7, 2021
    • HQ city · unset to LOS ANGELES
      Aug 24, 2020 to Sep 11, 2020
    • HQ state · unset to CA
      Aug 24, 2020 to Sep 11, 2020
    • Financial planning clients · unset to 0
      Aug 12, 2020 to Aug 24, 2020
    Signals
    1 dated events
    • ••• Locked
      Aug 12, 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.
    How to reach
    public business contact points only, each with its source
    Website
    ••• Lockedreportedpublic record, Form ADV, Feb 5, 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
    Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
    RAUM per advisor
    $19.4Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026