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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

J••• G• O••••••••

Former SEC-registered adviserCRD 323103SEC 801-126576IAPD
Legal name O••••••••• J••• G••••••
Latest filing Apr 14, 2023
First filing on the tape Aug 17, 2022 · 8 filings
RAUM
$28.1M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$28.1M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$28.1M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$28.1M as of Apr 14, 2023
Aug 17, 2022$0 then
HNW client RAUM$22.9M as of Apr 14, 2023
Feb 10, 2023$22.9M then
State-registered IARs (5.B.3)1 as of Apr 14, 2023
Aug 17, 20221 then
Employees (5.A)2 as of Apr 14, 2023
Aug 17, 20222 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Apr 14, 2023; every figure names its basis
RAUM per advisor
$28.1MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
39derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.9MderivedHNW RAUM over HNW clients
Average account
$561,046derivedRAUM over accounts (5.F.2.f)
Discretionary
100%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
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 assetsreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 5.G
Custody
$9.6M, 6 clientsreportedItem 9.A
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$22.9M82%
  • Individuals$5.2M18%
Individual clients
31reported
HNW clients
8reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
50reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$9.6M for 6 clientsreported
Compensation
% of AUMreported
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••• G•••••• O••••••••Irvine, CaJan 1, 202645 y4
Advisor movement
0 left, 1 joined in 12 months
net +1 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
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • O••••••••• J•••• G•••••• · President & Chief Compliance Officercontrol
      since 08/2022 · 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 50
      Sep 30, 2022 to Feb 10, 2023
    • BD registered reps · 1 to 0
      Sep 30, 2022 to Feb 10, 2023
    • Business name · O••••••••• J••• G• to J••• G• O••••••••
      Sep 30, 2022 to Feb 10, 2023
    • HNW clients · unset to 8.0
      Sep 30, 2022 to Feb 10, 2023
    • Individual clients · unset to 31.0
      Sep 30, 2022 to Feb 10, 2023
    • Assets in custody · unset to 9569623.0
      Sep 30, 2022 to Feb 10, 2023
    • Custody of client assets · false to true
      Sep 30, 2022 to Feb 10, 2023
    • Insurance-licensed employees · 1 to 0
      Sep 30, 2022 to Feb 10, 2023
    • HQ city · IRVINE to unset
      Sep 30, 2022 to Feb 10, 2023
    • HQ state · CA to unset
      Sep 30, 2022 to Feb 10, 2023
    • Discretionary RAUM · $0 to $28.1M
      Sep 30, 2022 to Feb 10, 2023
    • HNW RAUM · unset to 22884896.0
      Sep 30, 2022 to Feb 10, 2023
    • Individual RAUM · unset to 5167411.0
      Sep 30, 2022 to Feb 10, 2023
    • RAUM · $0 to $28.1M
      Sep 30, 2022 to Feb 10, 2023
    • Related adviser · true to false
      Sep 30, 2022 to Feb 10, 2023
    • Related broker-dealer · true to false
      Sep 30, 2022 to Feb 10, 2023
    • Legal name · O••••••••• J••• G• to O••••••••, J••• G••••••
      Sep 30, 2022 to Sep 30, 2022
    Signals
    1 dated events
    • O••••••••• J••• G• filed its initial SEC registration (Form ADV)
      Aug 17, 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.
    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
    $28.1Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026