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••• H•• C•••••• G••••• I•••
Latest filing Jan 29, 2018
First filing on the tape Feb 16, 2012 · 9 filings
RAUM
$120M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
6.2%
$7.5M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$120M as of Jan 29, 2018
Feb 16, 2012$507M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jan 29, 2018
Feb 16, 20120 then
Employees (5.A)5 as of Jan 29, 2018
Feb 15, 20135 then
Private funds: no history
RAUM +9.0% over the last fiscal year-33% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jan 29, 2018; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $7.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 79%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.0%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- State and municipal entities$73.8M72%
- Charitable organizations$20.9M20%
- Individuals$7.5M7.3%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 17reported
- Financial planning clients
- n/areported
- 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
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••• J••• · Chairmancontrolsince 04/1991 · owns 75% or more
- H••• R••••••• B••••• · Chief Compliance Officercontrolsince 09/2004 · owns less than 5%
Related persons
Schedule D 7.A
- S•••• C••••••• L••investment advisern
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 14 to 17Jun 28, 2017 to Jan 29, 2018
- Advisory activities · 3 to 2Jun 28, 2017 to Jan 29, 2018
- Other offices · unset to 0.0Jun 28, 2017 to Jan 29, 2018
- Discretionary RAUM · $110M to $120MJun 28, 2017 to Jan 29, 2018
- Individual RAUM · unset to 7467430.0Jun 28, 2017 to Jan 29, 2018
- RAUM · $110M to $120MJun 28, 2017 to Jan 29, 2018
- Accounts · 13 to 14Feb 29, 2016 to Feb 1, 2017
- Employees · 6 to 5Feb 29, 2016 to Feb 1, 2017
- Discretionary RAUM · $191M to $110MFeb 29, 2016 to Feb 1, 2017
- RAUM · $191M to $110MFeb 29, 2016 to Feb 1, 2017
- Accounts · 23 to 13Jul 6, 2015 to Feb 29, 2016
- Discretionary RAUM · $406M to $191MJul 6, 2015 to Feb 29, 2016
- RAUM · $406M to $191MJul 6, 2015 to Feb 29, 2016
- Accounts · 27 to 23Mar 3, 2014 to Mar 24, 2015
- Discretionary RAUM · $511M to $406MMar 3, 2014 to Mar 24, 2015
- RAUM · $511M to $406MMar 3, 2014 to Mar 24, 2015
- Accounts · 29 to 27Feb 15, 2013 to Mar 3, 2014
- Employees · 5 to 6Feb 15, 2013 to Mar 3, 2014
- Discretionary RAUM · $498M to $511MFeb 15, 2013 to Mar 3, 2014
- RAUM · $498M to $511MFeb 15, 2013 to Mar 3, 2014
- Accounts · 31 to 29Feb 16, 2012 to Feb 15, 2013
- Advisory employees · unset to 3.0Feb 16, 2012 to Feb 15, 2013
- Advisory activities · 2 to 3Feb 16, 2012 to Feb 15, 2013
- Employees · unset to 5.0Feb 16, 2012 to Feb 15, 2013
- Discretionary RAUM · $507M to $498MFeb 16, 2012 to Feb 15, 2013
- RAUM · $507M to $498MFeb 16, 2012 to Feb 15, 2013
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.
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