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J•••••• M••••• A•••••••• I•••

Former SEC-registered adviserFormer SEC adviser

Former SEC-registered adviser, reporting $491M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2018-02-22 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: $491M
RAUM change, 1 year: -21%
Private clients: 100%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2018-02-22 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 22 Feb 2018, RAUM $618M to $491M (-20.6%) on the Form ADV filed 22 Feb 2018, while advisors on the filing held at 2.

Every filed figure, and the identifiersCRD 106851 · SEC 801-43319 · 8 filingsShow

CRD 106851SEC 801-43319Legal name J•••••• M••••• A••••••• I••First filing on the tape Mar 14, 2012, latest Feb 22, 2018IAPD

RAUM

$491M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

100%

$491M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

2 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

8 filings and snapshots on the tape

RAUM -11% a year over three years · the tape starts Mar 14, 2012

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$491M as of Feb 22, 2018

Mar 14, 2012$549M then

HNW client RAUM: $491M

State-registered IARs (5.B.3)2 as of Feb 22, 2018

Mar 14, 20120 then

Employees (5.A)2 as of Feb 22, 2018

Feb 8, 20132 then

Private funds: no history

RAUM -21% over the last fiscal year-11% a year over threeIARs 2 to 2

Practice profile

derived from the filing of Feb 22, 2018; every figure names its basis

The rule behind each archetype, and every derived figureShow

RAUM per advisor: $246MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 8derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $35.1MderivedHNW RAUM over HNW clients
Average account: $30.7MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%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: 2.0derived1 office incl. principal (1.F.5)
RAUM growth, one year: -21%derivedbetween the last two annual amendments
Advisor growth, one year: +0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: percentage of assets, hourly, 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)

Where the RAUM sits

Form ADV Item 5.D, latest filing

100% high-net-worth individuals, 0.0% individuals

The breakdown by client type, and the client counts2 client typesShow

High-net-worth individuals$491M100%
Individuals$20,2340.0%

Individual clients: 2reported
HNW clients: 14reported
Pension plan clients: 0reported
Charitable clients: 0reported
Accounts: 16reported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, fixed, hourlyreported
Class basis: absent from the latest SEC rosterderived

Advisor movement

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

0 on IAPD today; the longest tenured first

No representative is registered through this CRD on IAPD.

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

J••••••• P••••••• L••••• C•••••• · Presidentcontrol
since 01/1993 · owns 50% to 75%
M•••••• V••••••• · Chief Compliance Officer, Corp. Secretary/Treasurercontrol
since 01/1993 · owns 50% to 75%

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 24 to 16
Mar 27, 2017 to Feb 22, 2018
Charity clients · unset to 0.0
Mar 27, 2017 to Feb 22, 2018
Corporate clients · unset to 0.0
Mar 27, 2017 to Feb 22, 2018
HNW clients · unset to 14.0
Mar 27, 2017 to Feb 22, 2018
Individual clients · unset to 2.0
Mar 27, 2017 to Feb 22, 2018

Full history · 39 changes

Pension plan clients · unset to 0.0
Mar 27, 2017 to Feb 22, 2018
Pooled vehicle clients · unset to 0.0
Mar 27, 2017 to Feb 22, 2018
Other offices · unset to 0.0
Mar 27, 2017 to Feb 22, 2018
Discretionary RAUM · $618M to $491M
Mar 27, 2017 to Feb 22, 2018
HNW RAUM · unset to 491133012.0
Mar 27, 2017 to Feb 22, 2018
Individual RAUM · unset to 20234.0
Mar 27, 2017 to Feb 22, 2018
Pension RAUM · unset to 0.0
Mar 27, 2017 to Feb 22, 2018
Pooled vehicle RAUM · unset to 0.0
Mar 27, 2017 to Feb 22, 2018
RAUM · $618M to $491M
Mar 27, 2017 to Feb 22, 2018
Accounts · 37 to 24
Mar 4, 2016 to Mar 27, 2017
Discretionary RAUM · $667M to $618M
Mar 4, 2016 to Mar 27, 2017
Non-discretionary RAUM · $242,702 to $0
Mar 4, 2016 to Mar 27, 2017
RAUM · $667M to $618M
Mar 4, 2016 to Mar 27, 2017
Accounts · 38 to 37
Mar 11, 2015 to Mar 4, 2016
Advisory activities · 2 to 1
Mar 11, 2015 to Mar 4, 2016
Financial planning clients · 1-10 to unset
Mar 11, 2015 to Mar 4, 2016
Discretionary RAUM · $697M to $667M
Mar 11, 2015 to Mar 4, 2016
Non-discretionary RAUM · $2.5M to $242,702
Mar 11, 2015 to Mar 4, 2016
RAUM · $700M to $667M
Mar 11, 2015 to Mar 4, 2016
Accounts · 41 to 38
Mar 17, 2014 to Mar 11, 2015
Discretionary RAUM · $675M to $697M
Mar 17, 2014 to Mar 11, 2015
Non-discretionary RAUM · $15.5M to $2.5M
Mar 17, 2014 to Mar 11, 2015
RAUM · $690M to $700M
Mar 17, 2014 to Mar 11, 2015
Accounts · 43 to 41
Feb 11, 2013 to Mar 17, 2014
Discretionary RAUM · $600M to $675M
Feb 11, 2013 to Mar 17, 2014
Non-discretionary RAUM · $0 to $15.5M
Feb 11, 2013 to Mar 17, 2014
RAUM · $600M to $690M
Feb 11, 2013 to Mar 17, 2014
Succession · true to false
Feb 11, 2013 to Mar 17, 2014
Succession · false to true
Feb 8, 2013 to Feb 11, 2013
Advisory employees · unset to 2.0
Mar 14, 2012 to Feb 8, 2013
Employees · unset to 2.0
Mar 14, 2012 to Feb 8, 2013
State-registered IARs · 0 to 2
Mar 14, 2012 to Feb 8, 2013
Discretionary RAUM · $549M to $600M
Mar 14, 2012 to Feb 8, 2013
RAUM · $549M to $600M
Mar 14, 2012 to Feb 8, 2013

Signals

1 dated events

••• Locked
Feb 11, 2013 · Succession (Item 4) · fact

Across DFX

shared identifiers only, never a name match

No identifier-backed link to the venture, private equity, family office or sponsor graphs.

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: Not computedderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026