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
J•• W••••• A•••••••
Latest filing Jun 5, 2026
First filing on the tape Feb 13, 2026 · 4 filings
SEC status approved since Feb 23, 2026
RAUM
$547M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
90%
$490M individuals and HNW
Advisors
6
registered through the firm on IAPD
RAUM per advisor
$91.1M
derived; firm RAUM over IAPD count
Employees
8
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$547M as of Jun 5, 2026
Feb 13, 2026$0 then
HNW client RAUM: $139M
State-registered IARs (5.B.3)6 as of Jun 5, 2026
Feb 13, 20264 then
Employees (5.A)8 as of Jun 5, 2026
Feb 13, 20268 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 5, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- RAUM per advisor
- $91.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 83derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $13.9MderivedHNW RAUM over HNW clients
- Average account
- $574,100derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 8.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived2 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
- financial planning, portfolio management for individuals, publicationsreportedItem 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 an insurance broker or agent (6.A.6)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$351M64%
- High-net-worth individuals$139M25%
- Pension and profit-sharing plans$48.4M8.9%
- Corporations and businesses$7.9M1.4%
- Individual clients
- 487reported
- HNW clients
- 10reported
- Pension plan clients
- 46reported
- Charitable clients
- n/areported
- Accounts
- 952reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.9 fund_share=0.0 institutional_share=0.09 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
6 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• D•••• H•••••• | La Jolla, Ca | Apr 7, 2026 | 11 y | 1 |
| G••••••• D• Q•••••• R•••• | La Jolla, Ca | Apr 7, 2026 | 10 y | 1 |
| J•••••• L••••••• W•••••• | La Jolla, Ca | Apr 7, 2026 | 12 y | 2 |
| R•••• H••••• | La Jolla, Ca | Apr 7, 2026 | 41 y | 7 |
| J••• P••••• T•••• | La Jolla, Ca | Apr 7, 2026 | 33 y | 3 |
| J•••••• A••••••••• T•••• | La Jolla, Ca | Apr 8, 2026 | 19 y | 3 |
Advisor movement
0 left, 6 joined in 12 months
net +6 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•••••• A••••••••• T•••• from W•••• F•••• A•••••••Apr 8, 2026 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- J••• P••••• T•••• from W•••• F•••• A•••••••Apr 7, 2026 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- M•••••• D•••• H•••••• from W•••• F•••• A•••••••Apr 7, 2026 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- G••••••• D• Q•••••• R•••• from W•••• F•••• A•••••••Apr 7, 2026 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- J•••••• L••••••• W•••••• from W•••• F•••• A•••••••Apr 7, 2026 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- R•••• H••••• from W•••• F•••• A•••••••Apr 7, 2026 · Wirehouse to a newly registered adviser (no RAUM reported yet)
Teams: two or more advisors moving together within fourteen days, from one state
- 5 joined from W•••• F•••• A•••••••Apr 6, 2026 · La Jolla, Ca
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- T••••• J•••• P••••• · Partnercontrolsince 08/2013 · owns 75% or more
- M•••••• M••••••• P••• · Chief Compliance Officersince 10/2025 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| La Jolla, Ca · principal | 6 | 6 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 0 to 952Apr 6, 2026 to Jun 5, 2026
- Corporate clients · unset to 13.0Apr 6, 2026 to Jun 5, 2026
- HNW clients · unset to 10.0Apr 6, 2026 to Jun 5, 2026
- Individual clients · unset to 487.0Apr 6, 2026 to Jun 5, 2026
- Pension plan clients · unset to 46.0Apr 6, 2026 to Jun 5, 2026
- Discretionary RAUM · $0 to $542MApr 6, 2026 to Jun 5, 2026
- HNW RAUM · unset to 138991138.0Apr 6, 2026 to Jun 5, 2026
- Individual RAUM · unset to 351249862.0Apr 6, 2026 to Jun 5, 2026
- Non-discretionary RAUM · $0 to $5.0MApr 6, 2026 to Jun 5, 2026
- Pension RAUM · unset to 48414000.0Apr 6, 2026 to Jun 5, 2026
- RAUM · $0 to $547MApr 6, 2026 to Jun 5, 2026
- Advisory employees · 4 to 6Feb 13, 2026 to Mar 25, 2026
- BD registered reps · 6 to 0Feb 13, 2026 to Mar 25, 2026
- State-registered IARs · 4 to 6Feb 13, 2026 to Mar 25, 2026
Signals
1 dated events
- 5 advisors left W•••• F•••• A••••••• (LA Jolla, CA) for J•• W••••• A••••••• within 10 daysApr 6, 2026 · Team lift-out · derived
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
- Business phone
- 858-457-1026reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- j•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 858-457-1003reportedpublic record, Form ADV, Jun 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $91.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026