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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Former SEC-registered adviser

J•• A••••••••• I•••

Former SEC-registered adviserWhite Plains, New YorkCRD 104955SEC 801-21958IAPD
Latest filing Aug 7, 2020
First filing on the tape Jan 6, 2012 · 22 filings
RAUM
$73.2M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$73.2M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$73.2M as of Mar 23, 2020
Jan 6, 2012$35.1M then
HNW client RAUM$27.0M as of Mar 23, 2020
Mar 28, 2018$30.2M then
State-registered IARs (5.B.3)2 as of Mar 23, 2020
Jan 9, 20133 then
Employees (5.A)4 as of Mar 23, 2020
Jan 9, 20134 then
Private funds: no history
RAUM +18% over the last fiscal year+13% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Aug 7, 2020; every figure names its basis
RAUM per advisor
$36.6MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
92derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.8MderivedHNW RAUM over HNW clients
Average account
$287,191derivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%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
0.7derived3 offices incl. principal (1.F.5)
RAUM growth, one year
+18%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+5.2%derived
Compensation
percentage of assetsreportedItem 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
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$46.2M63%
  • High-net-worth individuals$27.0M37%
Individual clients
168reported
HNW clients
15reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
255reported
Financial planning clients
101-250reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • D••••••••• P•••• A• · Vp,Cfo,Ceo,Clo,Amlo,Ccocontrol
      since 06/1981 · owns 50% to 75%
    • K•••••• J•••••• S•••••• · President,Coocontrol
      since 06/1981 · owns 50% to 75%
    • P••••••• A•••• · Associate Partnercontrol
      since 08/2020 · owns less than 5%
    Related persons
    Schedule D 7.A
    Offices
    Schedule D 1.F, the 25 largest
    • Cincinnati, OH2 employees
    • Schnectady, NY2 employees
    What changed
    consecutive filings, newest first
    • Pension plan clients · unset to 0.0
      Sep 19, 2019 to Mar 23, 2020
    • Pooled vehicle clients · unset to 0.0
      Sep 19, 2019 to Mar 23, 2020
    • Financial planning clients · 1-10 to 101-250
      Sep 19, 2019 to Mar 23, 2020
    • HNW RAUM · $26.2M to $27.0M
      Sep 19, 2019 to Mar 23, 2020
    • Individual RAUM · $44.5M to $46.2M
      Sep 19, 2019 to Mar 23, 2020
    • Non-discretionary RAUM · $70.7M to $73.2M
      Sep 19, 2019 to Mar 23, 2020
    • Pension RAUM · unset to 0.0
      Sep 19, 2019 to Mar 23, 2020
    • Pooled vehicle RAUM · unset to 0.0
      Sep 19, 2019 to Mar 23, 2020
    • RAUM · $70.7M to $73.2M
      Sep 19, 2019 to Mar 23, 2020
    • Accounts · 247 to 255
      Sep 19, 2019 to Mar 23, 2020
    • Charity clients · unset to 0.0
      Sep 19, 2019 to Mar 23, 2020
    • Corporate clients · unset to 0.0
      Sep 19, 2019 to Mar 23, 2020
    • HNW clients · 17 to 15
      Sep 19, 2019 to Mar 23, 2020
    • Individual clients · 230 to 168
      Sep 19, 2019 to Mar 23, 2020
    • Accounts · 250 to 247
      Mar 29, 2019 to Sep 19, 2019
    • Advisory activities · 3 to 2
      Mar 29, 2019 to Sep 19, 2019
    • Individual clients · 157 to 230
      Mar 29, 2019 to Sep 19, 2019
    • Commission compensation · true to false
      Mar 29, 2019 to Sep 19, 2019
    • HNW RAUM · $28.3M to $26.2M
      Mar 29, 2019 to Sep 19, 2019
    • Individual RAUM · $33.8M to $44.5M
      Mar 29, 2019 to Sep 19, 2019
    • Non-discretionary RAUM · $62.2M to $70.7M
      Mar 29, 2019 to Sep 19, 2019
    • RAUM · $62.2M to $70.7M
      Mar 29, 2019 to Sep 19, 2019
    • Accounts · 246 to 250
      Jul 19, 2018 to Mar 29, 2019
    • HNW clients · 15 to 17
      Jul 19, 2018 to Mar 29, 2019
    • Individual clients · 112 to 157
      Jul 19, 2018 to Mar 29, 2019
    • HNW RAUM · $30.2M to $28.3M
      Jul 19, 2018 to Mar 29, 2019
    • Individual RAUM · $33.4M to $33.8M
      Jul 19, 2018 to Mar 29, 2019
    • Non-discretionary RAUM · $63.6M to $62.2M
      Jul 19, 2018 to Mar 29, 2019
    • RAUM · $63.6M to $62.2M
      Jul 19, 2018 to Mar 29, 2019
    • Accounts · 261 to 246
      May 10, 2017 to Mar 28, 2018
    • BD registered reps · 2 to 4
      May 10, 2017 to Mar 28, 2018
    • HNW clients · unset to 15.0
      May 10, 2017 to Mar 28, 2018
    • Individual clients · unset to 112.0
      May 10, 2017 to Mar 28, 2018
    • Employees · 2 to 4
      May 10, 2017 to Mar 28, 2018
    • Other offices · unset to 2.0
      May 10, 2017 to Mar 28, 2018
    • HNW RAUM · unset to 30232581.0
      May 10, 2017 to Mar 28, 2018
    • Individual RAUM · unset to 33402165.0
      May 10, 2017 to Mar 28, 2018
    • Non-discretionary RAUM · $51.3M to $63.6M
      May 10, 2017 to Mar 28, 2018
    • RAUM · $51.3M to $63.6M
      May 10, 2017 to Mar 28, 2018
    • Accounts · 273 to 261
      May 19, 2016 to Mar 7, 2017
    Signals
    2 dated events
    • Annie Pereyra (Chief Compliance Officer, Associate Partner) appeared on Schedule A of J•• A••••••••• I•••
      Mar 23, 2020 · Control person joined · fact
    • Usha Desai (Chief Compliance Officer) no longer on Schedule A of J•• A••••••••• I••• (listed 2019-09-19, absent 2020-03-23)
      Mar 23, 2020 · Control person left · inference
    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
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026