DFX Intelligence

M••• J• L••• I••••••••• M•••••••••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

M••• J• L••• I••••••••• M•••••••••

CRD 120529

CHICAGO, IL

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Search this name across graphsid dfx:ria:141699da-c329-cbf6-cd00-df16150af716

Data as of Apr 27, 2012 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 12:05 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Mar 2, 2012 to Apr 27, 2012
2 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $41.2M••• Locked
Discretionary RAUM: $41.2M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 2
RAUM per advisor: $20.6Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
J••• T••••• B•••••••	n/a	Palm Springs, FL	7	33	3	no
R•• N•••	n/a	LISLE, IL \| Pinehurst, NC	4	31

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
L•••• M•••• J••	PRESIDENT, CHIEF COMPLIANCE OFFICER	E	yes	01/2002	Mar 2, 2012	Apr 27, 2012

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
M••• J• L••• • C••••••	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Mar 2, 2012	$41.2M	$41.2M	n/a	n/a	n/a	n/a	n/a

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	0	0	0.0%	0	0	0	0	0

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2011	$41.2M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Registered with (4)

← R•• N•••Advisorregistration: current employment
Feb 28, 2022 to presentfactForm ADV
← J••• T••••• B•••••••Advisorregistration: current employment
May 10, 2019 to presentfactForm ADV
← R••• J••••••Advisorregistration: previous registration
Mar 13, 2019 to Feb 4, 2021factForm ADV
← J••• B•••••• S••••

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:141699da-c329-cbf6-cd00-df16150af716
First observed: Mar 2, 2012
Last observed: Apr 27, 2012 175 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.