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• I••••••••• M••••••••• I•••

Former SEC-registered adviserHong Kong, CRD 107081SEC 801-41622IAPD
Latest filing Jun 21, 2019
First filing on the tape Nov 30, 2011 · 40 filings
RAUM
$472M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
56
44 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
40 filings and snapshots on the tape
RAUM$472M as of Mar 29, 2019
Mar 30, 2012$1.2B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2019
Mar 28, 20130 then
Employees (5.A)56 as of Mar 29, 2019
Mar 28, 201348 then
Private funds1 as of Mar 30, 2016
Mar 30, 20121 then
RAUM -31% over the last fiscal year-39% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 21, 2019; 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
$157MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
70%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
-31%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 businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 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)
  • 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)
  • a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • State and municipal entities$303M64%
  • Investment companies$142M30%
  • Pension and profit-sharing plans$26.8M5.7%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
1reported
Charitable clients
n/areported
Accounts
3reported
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
      Every departureEvery arrival
      Private funds
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      G••• S•••••• O••••••••• F••• L••no longer reportedOther Private Fund$130M4Mar 28, 2013
      J••• M••••• A••• E••••••• F•••• L••no longer reportedPrivate Equity Fund$81.4M2Feb 17, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • C•••• E••••• T••• K•• · Director/Managing Directorcontrol
        since 06/2016 · owns less than 5%
      • E••••••• A•••• H•••• · Director/Managing Directorcontrol
        since 02/2016 · owns less than 5%
      • S••••••• C••••••••• D•••• · Director/Managing Directorcontrol
        since 01/2015 · owns less than 5%
      • H•• S•••• Y••• · Director/Managing Director
        since 06/2018 · owns less than 5%
      • S•••• M•••••• Y••• K••• · Chief Compliance Officer/Managing Director
        since 07/2018 · owns less than 5%
      Entity owners
      • J••••••• A•••• M••••••••• ••••• I••• · Shareholder
        direct · owns 75% or more
      • J••••••• A•••• M••••••••• H••••••• I••• · Shareholder
        indirect · owns 75% or more of J••••••• A•••• M••••••••• ••••• I•••
      • J••••••• C•••• • C•• · Shareholder
        indirect · owns 75% or more of J••••••• C•••• H••••••• L•• · public reporting company
      • J••••••• C•••• H••••••• L•• · 100% Shareholder
        indirect · owns 75% or more of J••••••• A•••• M••••••••• H••••••• I•••
      Related persons
      Schedule D 7.A
      • J••• M••••• I••••••••• M••••••••• I•••
        investment adviserbankpooled vehicle sponsornRAUM $3519B
      • J••• M••••• S••••••••• •••• P••••••• L••••••
        investment advisern
      • J••• M••••• S••••••••• P••
        broker-dealertrust companyCPO or CTAn
      • J• A•••• M••••••••• L••••••
        investment adviserpooled vehicle sponsorn
      • J••••••• A•••• M••••••••• •••••• L••••••
        investment advisern
      • J••••••• A•••• M••••••••• ••••••••• L••••••
        investment advisern
      • J••••••• A•••• M••••••••• ••••••• L••••••
        investment adviserpooled vehicle sponsorn
      • J••••••• A•••• M••••••••• R••• A••••• ••••• L••••••
        investment advisern
      • J••••••• C•••• B•••• N•••
        investment adviserbankpooled vehicle sponsorCPO or CTAcustodiann
      • J••••••• D••••••••• S•••••••• I•••
        broker-dealern
      • J••••••• F•••• ••••• L••••••
        investment advisern
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 49 to 44
        Feb 22, 2019 to Mar 29, 2019
      • Pension plan clients · unset to 1.0
        Feb 22, 2019 to Mar 29, 2019
      • Employees · 58 to 56
        Feb 22, 2019 to Mar 29, 2019
      • Discretionary RAUM · $688M to $472M
        Feb 22, 2019 to Mar 29, 2019
      • Pension RAUM · $46.9M to $26.8M
        Feb 22, 2019 to Mar 29, 2019
      • RAUM · $688M to $472M
        Feb 22, 2019 to Mar 29, 2019
      • Accounts · 8 to 3
        Mar 6, 2018 to Mar 29, 2018
      • Advisory employees · 39 to 49
        Mar 6, 2018 to Mar 29, 2018
      • Advisory activities · 2 to 3
        Mar 6, 2018 to Mar 29, 2018
      • Discretionary RAUM · $1.7B to $688M
        Mar 6, 2018 to Mar 29, 2018
      • Pension RAUM · $41.5M to $46.9M
        Mar 6, 2018 to Mar 29, 2018
      • RAUM · $1.7B to $688M
        Mar 6, 2018 to Mar 29, 2018
      • Other offices · unset to 0.0
        Jun 30, 2017 to Mar 6, 2018
      • Pension RAUM · unset to 41540115.0
        Jun 30, 2017 to Mar 6, 2018
      • Accounts · 14 to 8
        Feb 23, 2017 to Mar 31, 2017
      • Advisory employees · 34 to 39
        Feb 23, 2017 to Mar 31, 2017
      • Employees · 53 to 58
        Feb 23, 2017 to Mar 31, 2017
      • Private funds · 1 to unset
        Feb 23, 2017 to Mar 31, 2017
      • Discretionary RAUM · $2.0B to $1.7B
        Feb 23, 2017 to Mar 31, 2017
      • RAUM · $2.0B to $1.7B
        Feb 23, 2017 to Mar 31, 2017
      • Accounts · 8 to 14
        Oct 7, 2015 to Mar 30, 2016
      • Advisory employees · 30 to 34
        Oct 7, 2015 to Mar 30, 2016
      • Employees · 43 to 53
        Oct 7, 2015 to Mar 30, 2016
      • Discretionary RAUM · $1.5B to $2.0B
        Oct 7, 2015 to Mar 30, 2016
      • RAUM · $1.5B to $2.0B
        Oct 7, 2015 to Mar 30, 2016
      • Accounts · 9 to 8
        Feb 23, 2015 to Mar 26, 2015
      • Advisory employees · 31 to 30
        Feb 23, 2015 to Mar 26, 2015
      • Discretionary RAUM · $1.6B to $1.5B
        Feb 23, 2015 to Mar 26, 2015
      • RAUM · $1.6B to $1.5B
        Feb 23, 2015 to Mar 26, 2015
      • Accounts · 11 to 9
        Mar 31, 2014 to Jun 17, 2014
      • Advisory employees · 38 to 31
        Mar 31, 2014 to Jun 17, 2014
      • Employees · 48 to 43
        Mar 31, 2014 to Jun 17, 2014
      • Discretionary RAUM · $1.0B to $1.6B
        Mar 31, 2014 to Jun 17, 2014
      • RAUM · $1.0B to $1.6B
        Mar 31, 2014 to Jun 17, 2014
      • Private funds · 2 to 1
        Mar 28, 2013 to Oct 18, 2013
      • Accounts · 9 to 11
        Mar 1, 2013 to Mar 28, 2013
      • Advisory employees · 28 to 38
        Mar 1, 2013 to Mar 28, 2013
      • Employees · 44 to 48
        Mar 1, 2013 to Mar 28, 2013
      • Private funds · 1 to 2
        Mar 1, 2013 to Mar 28, 2013
      • Discretionary RAUM · $1.2B to $1.0B
        Mar 1, 2013 to Mar 28, 2013
      Signals
      4 dated events
      • James Simon Crinage (Director / Managing Director) no longer on Schedule A of J• I••••••••• M••••••••• I••• (listed 2019-03-29, absent 2019-06-21)
        Jun 21, 2019 · Control person left · inference
      • J• I••••••••• M••••••••• I••• reported RAUM $471.8M, down 31% from $687.6M (2019-02-22 to 2019-03-29)
        Mar 29, 2019 · RAUM change · derived
      • Edward Richard Titherington (Director/Managing Director) no longer on Schedule A of J• I••••••••• M••••••••• I••• (listed 2018-07-20, absent 2019-02-22)
        Feb 22, 2019 · Control person left · inference
      • J• I••••••••• M••••••••• I••• reported RAUM $687.6M, down 61% from $1.7B (2018-03-06 to 2018-03-29)
        Mar 29, 2018 · RAUM change · derived
      Across DFX
      shared identifiers only, never a name match
      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