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• K• R• • C••••••• I•••

Independent wealth managerVan Nuys, CaliforniaCRD 8040SEC 801-136249websiteIAPD
Latest filing May 26, 2026
First filing on the tape May 26, 2026 · 1 filings
SEC status approved since May 26, 2026
RAUM
$136M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$136M individuals and HNW
Advisors
5
registered through the firm on IAPD
RAUM per advisor
$27.3M
derived; firm RAUM over IAPD count
Employees
5
5 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
0
reported on Schedule D
History
1 filings and snapshots on the tape
RAUM: $136M
HNW client RAUM: $85.4M
State-registered IARs (5.B.3): 4
Employees (5.A): 5
Private funds: no history
Practice profile
derived from the filing of May 26, 2026; every figure names its basis
Archetypes, each a printed rule
  • Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
  • HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
RAUM per advisor
$27.3MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
19derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$2.8MderivedHNW RAUM over HNW clients
Average account
$595,268derivedRAUM 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
0.8derived6 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 individualsreportedItem 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)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$85.4M63%
  • Individuals$50.9M37%
Individual clients
65reported
HNW clients
30reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
229reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=4.0derived
Advisors registered through the firm
5 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
J•••• K••• R•••••••••Laguna Beach, CaJul 8, 199746 y0
J•••• A••••• E••••Van Nuys, CaMar 3, 200033 y0
J•• P••••••• H••••••••Van Nuys, CaAug 27, 201828 y0
F•••••••• J•••• P•••••••Van Nuys, Ca Sep 1, 202349 y7
J••• F•••••••• P•••••••Laguna Niguel, Ca Jan 1, 202642 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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • E••••• J•••• A••••• · President / Finop / Ccocontrol
    since 08/2019 · owns 75% or more
  • R••••••••• J•••• K••• · Vice Presidentcontrol
    since 08/2019 · 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
OfficeAdvisorsJoinedLeftTeams outForming
Van Nuys, Ca · principal410
Laguna Niguel, Ca210
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
One filing, no change to show.
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.
How to reach
public business contact points only, each with its source
Business email
i•••@j••••.comreportedpublished by the firm, firm site, Sep 16, 2026
Business phone
818-781-7721reportedpublished by the firm, firm site, Sep 16, 2026
Business phone
818-787-2232reportedpublished by the firm, firm site, Sep 16, 2026
Website
w••.j••••.comreportedpublic record, Form ADV, Sep 18, 2026
Principal office phone
818-781-7721reportedpublic record, Form ADV, May 26, 2026
Contact form
j••••.comreportedpublished by the firm, firm site, Sep 16, 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
$27.3Mderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026