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•• C•••••• C•••

Independent wealth managerDublin, OhioCRD 106285SEC 801-122786websiteIAPD
Latest filing Mar 31, 2023
First filing on the tape Mar 27, 2012 · 6 filings
SEC status approved since Jul 22, 2022
RAUM
$109M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
100%
$109M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$109M as of Mar 31, 2023
Mar 27, 2012$41.5M then
HNW client RAUM$95.0M as of Mar 31, 2023
Mar 4, 2022$100M then
State-registered IARs (5.B.3)3 as of Mar 31, 2023
Mar 4, 20223 then
Employees (5.A)3 as of Mar 31, 2023
Mar 4, 20223 then
Private funds: no history
RAUM -7.7% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Mar 31, 2023; 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
  • 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
  • Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
RAUM per advisor
$36.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
55derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.4MderivedHNW RAUM over HNW clients
Average account
$678,125derivedRAUM over accounts (5.F.2.f)
Discretionary
99%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
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-7.7%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+17%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
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
  • 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)
  • the adviser acts as qualified custodian (9.D.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$95.0M88%
  • Individuals$13.5M12%
Individual clients
97reported
HNW clients
68reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
160reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
    • L•••• T•••• L••••• · Presidentcontrol
      since 11/1996 · owns 25% to 50%
    Related persons
    Schedule D 7.A
    No related person reported.
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Dublin, Oh · principal000
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 141 to 160
      Jul 21, 2022 to Mar 31, 2023
    • HNW clients · 60 to 68
      Jul 21, 2022 to Mar 31, 2023
    • Individual clients · 81 to 97
      Jul 21, 2022 to Mar 31, 2023
    • Discretionary RAUM · $117M to $108M
      Jul 21, 2022 to Mar 31, 2023
    • HNW RAUM · $100M to $95.0M
      Jul 21, 2022 to Mar 31, 2023
    • Individual RAUM · $17.3M to $13.5M
      Jul 21, 2022 to Mar 31, 2023
    • Non-discretionary RAUM · $829,383 to $750,000
      Jul 21, 2022 to Mar 31, 2023
    • RAUM · $118M to $109M
      Jul 21, 2022 to Mar 31, 2023
    • Accounts · 160 to 141
      Nov 1, 2021 to Mar 4, 2022
    • Advisory employees · 3 to 2
      Nov 1, 2021 to Mar 4, 2022
    • HNW clients · 74 to 60
      Nov 1, 2021 to Mar 4, 2022
    • Individual clients · 86 to 81
      Nov 1, 2021 to Mar 4, 2022
    • Discretionary RAUM · $112M to $117M
      Nov 1, 2021 to Mar 4, 2022
    • HNW RAUM · $96.1M to $100M
      Nov 1, 2021 to Mar 4, 2022
    • Individual RAUM · $17.0M to $17.3M
      Nov 1, 2021 to Mar 4, 2022
    • Non-discretionary RAUM · $829,709 to $829,383
      Nov 1, 2021 to Mar 4, 2022
    • RAUM · $113M to $118M
      Nov 1, 2021 to Mar 4, 2022
    • Accounts · 221 to 160
      May 16, 2012 to Nov 1, 2021
    • Advisory employees · unset to 3.0
      May 16, 2012 to Nov 1, 2021
    • Advisory activities · 4 to 1
      May 16, 2012 to Nov 1, 2021
    • Charity clients · unset to 0.0
      May 16, 2012 to Nov 1, 2021
    • Corporate clients · unset to 0.0
      May 16, 2012 to Nov 1, 2021
    • HNW clients · unset to 74.0
      May 16, 2012 to Nov 1, 2021
    • Individual clients · unset to 86.0
      May 16, 2012 to Nov 1, 2021
    • Pension plan clients · unset to 0.0
      May 16, 2012 to Nov 1, 2021
    • Pooled vehicle clients · unset to 0.0
      May 16, 2012 to Nov 1, 2021
    • Employees · unset to 3.0
      May 16, 2012 to Nov 1, 2021
    • Financial planning clients · 1-10 to unset
      May 16, 2012 to Nov 1, 2021
    • State-registered IARs · unset to 3.0
      May 16, 2012 to Nov 1, 2021
    • Other offices · unset to 0.0
      May 16, 2012 to Nov 1, 2021
    • Discretionary RAUM · $39.4M to $112M
      May 16, 2012 to Nov 1, 2021
    • HNW RAUM · unset to 96085151.0
      May 16, 2012 to Nov 1, 2021
    • Individual RAUM · unset to 16997521.0
      May 16, 2012 to Nov 1, 2021
    • Non-discretionary RAUM · $2.1M to $829,709
      May 16, 2012 to Nov 1, 2021
    • RAUM · $41.5M to $113M
      May 16, 2012 to Nov 1, 2021
    Signals
    2 dated events
    • V••••••• E•••••••• W•••••• left J•• C•••••• C••• for Oneseven (registered 2023-05-30)
      Dec 31, 2023 · Advisor changed firm · fact
    • J•• C•••••• C••• filed its initial SEC registration (Form ADV)
      Nov 1, 2021 · First SEC registration · 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 phone
    303-893-0552reportedpublished by the firm, firm site, Sep 17, 2026
    Website
    w••.j•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
    Principal office phone
    614-559-2261reportedpublic record, Form ADV, Mar 31, 2023
    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
    n/aderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026