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.
SEC-registered adviser
J••• G• U••••• • A••••••••• I••
Legal name U••••• J••• • A••••••••• I••
Latest filing Mar 30, 2026
First filing on the tape Nov 17, 2011 · 20 filings
SEC status approved since Sep 20, 1978
RAUM
$1.5B
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
98%
$1.5B individuals and HNW
Advisors
23
registered through the firm on IAPD
RAUM per advisor
$65.7M
derived; firm RAUM over IAPD count
Employees
58
30 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$1.5B as of Mar 30, 2026
Mar 28, 2012$867M then
HNW client RAUM$1.2B as of Mar 30, 2026
Mar 29, 2018$708M then
State-registered IARs (5.B.3)23 as of Mar 30, 2026
Apr 1, 20133 then
Employees (5.A)58 as of Mar 30, 2026
Apr 1, 201343 then
Private funds: no history
RAUM +11% over the last fiscal year+8.0% a year over threeIARs 22 to 23
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- $65.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 43derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.6MderivedHNW RAUM over HNW clients
- Average account
- $531,487derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 1.7%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.5derivedItem 5.A over advisors
- Advisors per office
- 5.8derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +11%derivedbetween the last two annual amendments
- Advisor growth, one year
- +4.5%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.4%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, educational seminarsreportedItem 5.G
- Financial planning clients
- 1,000reportedItem 5.H
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$1.2B78%
- Individuals$310M20%
- Charitable organizations$26.4M1.7%
- Corporations and businesses$3.3M0.2%
- Individual clients
- 668reported
- HNW clients
- 324reported
- Pension plan clients
- 0reported
- Charitable clients
- 8reported
- Accounts
- 2,843reported
- Financial planning clients
- 1,000reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
23 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• G•• U••••• | Corning, Ny | Feb 27, 1990 | 48 y | 0 |
| K•••• B•••• M•••••••••Certified Financial Planner | Corning, Ny | Jul 20, 2021 | 42 y | 0 |
| P•••• J•••• W••••••Certified Financial Planner | Horseheads, Ny | Jul 20, 2021 | 28 y | 0 |
| J•••• D••••• N••••••••Certified Financial Planner | Horseheads, Ny | Jul 20, 2021 | 28 y | 0 |
| A••••• L•• H•••••• S••••Certified Financial Planner | Horseheads, Ny | Jul 21, 2021 | 20 y | 0 |
| A••••• H••• B••••Certified Financial Planner | Horseheads, Ny | Jul 21, 2021 | 12 y | 1 |
| J••••• A•• P••••••Certified Financial Planner | Horseheads, Ny | Jul 21, 2021 | 39 y | 0 |
| K•••••• W••••• G•••••Certified Financial Planner | Horseheads, Ny | Jul 21, 2021 | 39 y | 1 |
| T••••• G••••• S••• | Corning, Ny | Jul 22, 2021 | 44 y | 0 |
| T••• A• B••••Certified Financial Planner | Charlotte, Nc | Aug 5, 2021 | 20 y | 0 |
| D••••• L•• W•••••Certified Financial Planner | Horseheads, Ny | Aug 5, 2021 | 20 y | 0 |
| J•••• P••••• B•••• | Horseheads, Ny | Nov 30, 2023 | 12 y | 0 |
| J••• H••••••••• M•••••• | Horseheads, Ny | Dec 21, 2023 | 29 y | 0 |
| L•••• J••• L•••••Certified Financial Planner | Horseheads, Ny | Apr 3, 2024 | 13 y | 0 |
| D•••• A••• D•••• | Rhinebeck, Ny | May 7, 2024 | 10 y | 0 |
| S•••• W••••• T•••••••Certified Financial Planner | Lakewood Ranch, Fl | May 28, 2024 | 22 y | 0 |
| S•••• S•••••• T••••Certified Financial Planner | Corning, Ny | Nov 14, 2024 | 17 y | 3 |
| S•••• E•••• J•••••• C•••••• | Horseheads, Ny | Jan 13, 2025 | 11 y | 0 |
| L••• A••• C•••••• | Horseheads, Ny | Jul 1, 2025 | 12 y | 0 |
| D••••• A•••• C••••••• | Horseheads, Ny | Nov 29, 2025 | 27 y | 0 |
| A•••••••• T• C••••• | Horseheads, Ny | Dec 22, 2025 | 10 y | 0 |
| L•••• J••••• D••••• | Horseheads, Ny | Feb 24, 2026 | 11 y | 0 |
| J••••• T••••• A••••• | Horseheads, Ny | Jul 17, 2026 | 13 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- K•••• M•••• L•••• to E•••••• F•••••••• E••••••Aug 30, 2023 · RIA to RIA
- S••••• M•• N••••• to Y•••• W•••••Nov 8, 2021 · RIA to a state-registered adviser
- J•••• A•••• K••••••••• to B•• P•••••••• I•••Jan 4, 2010 · Other
Joined, latest
- S•••• S•••••• T•••• from C••••• I••••••••• A••••••• L••Nov 14, 2024 · Affiliated broker-dealer or bank to independent RIA
- A••••• H••• B•••• from M••••• O• O•••• I••••••• S•••••••• I•••Jul 21, 2021 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••• R•••••• E•••••• · Directorcontrolsince 01/1979 · owns less than 5%
- G••••••••• C••••••••• C••••• · Directorcontrolsince 03/2025 · owns less than 5%
- H•••• D••••• B••••••• · Directorcontrolsince 02/2011 · owns less than 5%
- M••••••••• K••••• B•••• · Senior Vice Presidentcontrolsince 01/1984 · owns less than 5%
- N••••••••• J••••• D••••• · President, Coo, Executive Vice President, Directorcontrolsince 03/2023 · owns less than 5%
- N•••••• J•••• D•••••• · Directorcontrolsince 02/2007 · owns less than 5%
- O•••••••• R•••••• O••• · Directorcontrolsince 06/2016 · owns less than 5%
- P••••• M••••••• M•••••• S••••• · Directorcontrolsince 03/2025 · owns less than 5%
- S•••• T•••••• G••••• · Senior Vice Presidentcontrolsince 07/1982 · owns less than 5%
- S•••••• K•••••••• A••• · Vice Presidentcontrolsince 03/2020 · owns less than 5%
- U•••••• B••••••• L••• · First Vice President, Directorcontrolsince 08/1978 · owns 50% to 75%
- U•••••• J•••• G•• · Chairman Of The Board, Ceo, Treasurer, Directorcontrolsince 08/1978 · owns 50% to 75%
- W•••••• D•••••• L•• · Corporate Secretary & Senior Vice Presidentcontrolsince 02/2009 · owns less than 5%
- Z••••••• H•••••• J•• · Directorcontrolsince 03/2012 · owns less than 5%
- H•••• D•••••• A•••• · Vice Presidentsince 03/2020 · owns less than 5%
- K••••••••• J•••••••• E•••••••• · Chief Compliance Officersince 02/2007 · owns less than 5%
- M•••••• C•••••• J••• · Controllersince 03/2017 · owns less than 5%
- U•••••• J•••• G•••••••• · Directorsince 03/2015 · owns less than 5%
- W••••••• P••••• J•••• · Senior Vice Presidentsince 02/2008 · 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 |
|---|---|---|---|---|---|
| Horseheads, Ny · principal | 19 | 4 | 0 | ||
| Corning, Ny | 4 | 0 | 0 | ||
| Rhinebeck, Ny | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Corning, NY9 employees
- Rhinebeck, NY3 employees
- Charlotte, NC1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Mar 30, 2026P••••• M••••••• M•••••• S••••• (DIRECTOR) appeared on Schedule A between the filings of 2020-03-27 and 2026-03-30peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing Mar 30, 2026G••••••••• C••••••••• C••••• (DIRECTOR) appeared on Schedule A between the filings of 2020-03-27 and 2026-03-30peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 2,835 to 2,843Mar 26, 2025 to Mar 30, 2026
- Advisory employees · 31 to 30Mar 26, 2025 to Mar 30, 2026
- Corporate clients · 14 to 9Mar 26, 2025 to Mar 30, 2026
- HNW clients · 291 to 324Mar 26, 2025 to Mar 30, 2026
- Individual clients · 687 to 668Mar 26, 2025 to Mar 30, 2026
- Employees · 63 to 58Mar 26, 2025 to Mar 30, 2026
- State-registered IARs · 22 to 23Mar 26, 2025 to Mar 30, 2026
- Discretionary RAUM · $1.3B to $1.5BMar 26, 2025 to Mar 30, 2026
- HNW RAUM · $990M to $1.2BMar 26, 2025 to Mar 30, 2026
- Individual RAUM · $298M to $310MMar 26, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $39.7M to $57.5MMar 26, 2025 to Mar 30, 2026
- RAUM · $1.4B to $1.5BMar 26, 2025 to Mar 30, 2026
- Accounts · 2,297 to 2,835Mar 27, 2024 to Mar 26, 2025
- Advisory employees · 29 to 31Mar 27, 2024 to Mar 26, 2025
- Corporate clients · 16 to 14Mar 27, 2024 to Mar 26, 2025
- HNW clients · 270 to 291Mar 27, 2024 to Mar 26, 2025
- Individual clients · 715 to 687Mar 27, 2024 to Mar 26, 2025
- Employees · 56 to 63Mar 27, 2024 to Mar 26, 2025
- Financial planning clients · More than 500 to More than 500Mar 27, 2024 to Mar 26, 2025
- State-registered IARs · 19 to 22Mar 27, 2024 to Mar 26, 2025
- Discretionary RAUM · $1.2B to $1.3BMar 27, 2024 to Mar 26, 2025
- HNW RAUM · $904M to $990MMar 27, 2024 to Mar 26, 2025
- Individual RAUM · $296M to $298MMar 27, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $39.1M to $39.7MMar 27, 2024 to Mar 26, 2025
- RAUM · $1.3B to $1.4BMar 27, 2024 to Mar 26, 2025
- Accounts · 2,429 to 2,297Aug 30, 2023 to Mar 27, 2024
- Advisory employees · 30 to 29Aug 30, 2023 to Mar 27, 2024
- BD registered reps · 1 to 0Aug 30, 2023 to Mar 27, 2024
- Corporate clients · 18 to 16Aug 30, 2023 to Mar 27, 2024
- HNW clients · 348 to 270Aug 30, 2023 to Mar 27, 2024
- Individual clients · 630 to 715Aug 30, 2023 to Mar 27, 2024
- Employees · 58 to 56Aug 30, 2023 to Mar 27, 2024
- Insurance-licensed employees · 1 to 0Aug 30, 2023 to Mar 27, 2024
- State-registered IARs · 17 to 19Aug 30, 2023 to Mar 27, 2024
- Discretionary RAUM · $1.2B to $1.2BAug 30, 2023 to Mar 27, 2024
- HNW RAUM · $881M to $904MAug 30, 2023 to Mar 27, 2024
- Individual RAUM · $196M to $296MAug 30, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $35.5M to $39.1MAug 30, 2023 to Mar 27, 2024
- RAUM · $1.2B to $1.3BAug 30, 2023 to Mar 27, 2024
- Related adviser · true to falseAug 30, 2023 to Mar 27, 2024
Signals
4 dated events
- Francis Arthur Kirk (Director) no longer on Schedule A of J••• G• U••••• • A••••••••• I•• (listed 2023-08-30, absent 2024-03-27)Mar 27, 2024 · Control person left · inference
- K•••• M•••• L•••• left J••• G• U••••• • A••••••••• I•• for E•••••• F•••••••• E•••••• (registered 2023-09-26)Aug 30, 2023 · Advisor changed firm · fact
- J••• G• U••••• • A••••••••• I•• reported 20 state-registered advisory representatives, up from 4 (2021-03-30 to 2022-03-28)Mar 28, 2022 · Advisor headcount change · derived
- A••• K••••••• S••••• (Vice President) appeared on Schedule A of J••• G• U••••• • A••••••••• I••Mar 27, 2020 · Control person joined · fact
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
- info@jgua.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- maslerc@jgua.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- mitchellj@jgua.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- albertt@jgua.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- andrysickt@jgua.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- ashleyr@jgua.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- austinl@jgua.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- bartlesp@jgua.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- benwayc@jgua.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- browna@jgua.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- brownj@jgua.comreportedpublished by the firm, firm site, Sep 15, 2026
- Business email
- canniotoa@jgua.comreportedpublished by the firm, firm site, Sep 15, 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
- $65.7Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026