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.
Former SEC-registered adviser
J••••••••• F••••• L••
Legal name J••••••••• F••••• L••••••
Latest filing May 12, 2025
First filing on the tape Apr 3, 2012 · 53 filings
SEC status approved since Oct 7, 1991
RAUM
$38B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
26%
$10B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
225
62 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
1
reported on Schedule D
History
53 filings and snapshots on the tape
RAUM$38B as of May 12, 2025
Apr 3, 2012$39B then
HNW client RAUM$8.7B as of May 12, 2025
Apr 2, 2018$7.5B then
State-registered IARs (5.B.3)1 as of May 12, 2025
Mar 27, 20132 then
Employees (5.A)225 as of May 12, 2025
Mar 27, 201370 then
Private funds1 as of May 12, 2025
Apr 3, 201212 then
RAUM +12% over the last fiscal year-5.9% a year over threeIARs 1 to 1
Practice profile
derived from the filing of May 12, 2025; every figure names its basis
- RAUM per advisor
- $38BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 4,146derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.9MderivedHNW RAUM over HNW clients
- Average account
- $4.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 44%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 225.0derivedItem 5.A over advisors
- Advisors per office
- 0.3derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.1%derived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Ownership
- a bank, bancorp or trust company is a 50 percent or greater ownerderived
- 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)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$8.7B27%
- Pension and profit-sharing plans$7.1B22%
- Insurance companies$5.1B16%
- Corporations and businesses$5.1B16%
- Charitable organizations$3.6B11%
- Individuals$1.3B4.2%
- Sovereign wealth funds$953M3.0%
- Pooled investment vehicles$71.2M0.2%
- Individual clients
- 2,353reported
- HNW clients
- 1,793reported
- Pension plan clients
- 120reported
- Charitable clients
- 204reported
- Accounts
- 8,063reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $256M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- 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
25 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| J••••••••• F••••• C••••••• E••••• F•••no longer reported | Other Private Fund | $4.0B | 561 | Apr 3, 2012 |
| J••••••••• F••••• B••••••• F•••no longer reported | Other Private Fund | $1.6B | 322 | Apr 3, 2012 |
| J••••••••• I••••••••• P••••• F•••no longer reported | Other Private Fund | $1.4B | 175 | Apr 3, 2012 |
| J••••••••• S•••••• E••••• F•••no longer reported | Other Private Fund | $686M | 134 | Apr 3, 2012 |
| J••••••••• F••••• G••••• B••••••• F•••no longer reported | Other Private Fund | $548M | 493 | Apr 3, 2012 |
| J••••••••• F••••• M•••• M••••• F•••no longer reported | Other Private Fund | $452M | 3,254 | Apr 3, 2012 |
| J••••••••• F••••• U••• E••••• F•••no longer reported | Other Private Fund | $394M | 130 | Apr 3, 2012 |
| J••••••••• F••••• F•••• I••••• C••• P••• F•••no longer reported | Other Private Fund | $277M | 11 | Mar 30, 2017 |
| J••••••••• F••••• B••• F•••no longer reported | Other Private Fund | $254M | 116 | Apr 3, 2012 |
| J••••••••• F••••• U• M•••• M••••• F•••no longer reported | Other Private Fund | $207M | 1,573 | Apr 3, 2012 |
| J••••••••• F••••• G••••• E••••• F•••no longer reported | Other Private Fund | $157M | 586 | Apr 3, 2012 |
| J••••••••• F••••• S•••• M••••••• B••• F•••no longer reported | Other Private Fund | $90.3M | 1,542 | Mar 30, 2016 |
| J••••••••• F••••• E••••••• M•••••• F•••no longer reported | Other Private Fund | $54.5M | 278 | Mar 30, 2016 |
| J••••••••• F••••• S•••••• B••• F•••no longer reported | Other Private Fund | $48.4M | 30 | Apr 3, 2012 |
| J• I••••••••• E••••• F••• L•• | Other Private Fund | $30.2M | 3 | Apr 3, 2012 |
| F•••• D• C••••••••• S•••••no longer reported | Other Private Fund | $27.9M | 33 | Mar 27, 2013 |
| J••••••••• F••••• F••••• F••• F••• G••••• E••••• F•••no longer reported | Other Private Fund | $7.6M | 14 | Mar 31, 2018 |
| J••••••••• F••••• D••••••• G••••• F•••no longer reported | Other Private Fund | $7.5M | 67 | Mar 27, 2013 |
| J••••••••• F••••• S•••••••• C•• E••••• F•••no longer reported | Other Private Fund | $5.2M | 267 | Mar 30, 2017 |
| J••••••••• F••••• F••••• F••• F••• B••• F•••no longer reported | Other Private Fund | $3.8M | 11 | Mar 31, 2018 |
| J••••••••• F••••• G••••• E••••• ••• C••••••••• F•••no longer reported | Other Private Fund | $2.9M | 102 | Mar 28, 2014 |
| J••••••••• F••••• I••••••••• E••••• ••• C•••••• E• U•• F•••no longer reported | Other Private Fund | $2.0M | 49 | Mar 28, 2014 |
| J••••••••• F••••• L••• T••• B••• F•••no longer reported | Other Private Fund | $1.6M | 1 | Mar 28, 2014 |
| J••••••••• F••••• F••••• F••• F••• C••••••• E••••• F•••no longer reported | Other Private Fund | $910,651 | 12 | Mar 31, 2018 |
| J••••••••• F••••• C•••••••• B••• F•••no longer reported | Other Private Fund | $830,041 | 1 | Mar 30, 2017 |
Owners and control persons
Schedule A and B, latest filing
- B••••• D•••• R•••• · Chief Compliance Officer (US)since 10/2018 · owns less than 5%
- J••••••• M••••••••• · Chief Financial Officersince 08/2018 · owns less than 5%
- K•••• N•••• A•••••••• · Executive Vice President, Asset Managementsince 11/2023 · owns less than 5%
Entity owners
- T•• B••• O• N••• S••••• · Wholly Owneddirect · owns 75% or more · public reporting company
Related persons
Schedule D 7.A
- 1••• A•••• M••••••••• L•••investment adviserbankpooled vehicle sponsorn
- 1••• A•••• M••••••••• U••• I•••investment advisernRAUM $1.4B
- M• F•••••••• M••••••••• I•••investment advisern
- M• M••••••••• L••••••broker-dealerinvestment advisern
- S••••• C•••••• •••• I•••broker-dealern
- S••••• C•••••• I•••broker-dealerinvestment advisertrust companycustodiann
- S••••• S••••••••• I•••broker-dealerinvestment advisern
- S••••• W••••• I•••••••• S••••••• I•••real estaten
- T•••••••• B•••n
- T•••••••• I••••••••• F•••• L•••investment advisern
- T•• B••• O• N••• S•••••y
- T•• B••• O• N••• S••••• T•••• C••••••custodiann
- T•• B••• O• N••• S••••• T•••• C•••••• •••••••• L••••••broker-dealern
- T•• B••• O• N••• S••••• T•••• C•••••• ••••••• L••••••broker-dealern
Advisers that list J••••••••• F••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
- Toronto, Ontario, Canada34 employees
- Calgary, Alberta, Canada7 employees
- Vancouver, British Columbia, Canada3 employees
What changed
consecutive filings, newest first
- Financial planning clients · unset to Jan 28, 2025 to May 12, 2025
- Accounts · 7,918 to 8,063Oct 24, 2024 to Jan 28, 2025
- Advisory employees · 73 to 62Oct 24, 2024 to Jan 28, 2025
- Charity clients · 208 to 204Oct 24, 2024 to Jan 28, 2025
- Corporate clients · 129 to 134Oct 24, 2024 to Jan 28, 2025
- HNW clients · 1,636 to 1,793Oct 24, 2024 to Jan 28, 2025
- Individual clients · 2,514 to 2,353Oct 24, 2024 to Jan 28, 2025
- Pension plan clients · 121 to 120Oct 24, 2024 to Jan 28, 2025
- Pooled vehicle clients · 15 to 14Oct 24, 2024 to Jan 28, 2025
- Assets in custody · $30.2M to $38.8MOct 24, 2024 to Jan 28, 2025
- Employees · 240 to 225Oct 24, 2024 to Jan 28, 2025
- HQ state · unset to Oct 24, 2024 to Jan 28, 2025
- Discretionary RAUM · $34B to $38BOct 24, 2024 to Jan 28, 2025
- HNW RAUM · $7.7B to $8.7BOct 24, 2024 to Jan 28, 2025
- Individual RAUM · $1.1B to $1.3BOct 24, 2024 to Jan 28, 2025
- Pension RAUM · $6.1B to $7.1BOct 24, 2024 to Jan 28, 2025
- Pooled vehicle RAUM · $46.5M to $71.2MOct 24, 2024 to Jan 28, 2025
- RAUM · $34B to $38BOct 24, 2024 to Jan 28, 2025
- Wrap assets (manager) · $194M to $256MOct 24, 2024 to Jan 28, 2025
- Accounts · 7,720 to 7,918Dec 4, 2023 to Jan 29, 2024
- Advisory employees · 67 to 73Dec 4, 2023 to Jan 29, 2024
- Charity clients · 210 to 208Dec 4, 2023 to Jan 29, 2024
- Corporate clients · 132 to 129Dec 4, 2023 to Jan 29, 2024
- HNW clients · 2,131 to 1,636Dec 4, 2023 to Jan 29, 2024
- Individual clients · 1,978 to 2,514Dec 4, 2023 to Jan 29, 2024
- Pension plan clients · 133 to 121Dec 4, 2023 to Jan 29, 2024
- Pooled vehicle clients · 9 to 15Dec 4, 2023 to Jan 29, 2024
- Assets in custody · $30.8M to $30.2MDec 4, 2023 to Jan 29, 2024
- Employees · 254 to 240Dec 4, 2023 to Jan 29, 2024
- State-registered IARs · 2 to 1Dec 4, 2023 to Jan 29, 2024
- Discretionary RAUM · $34B to $34BDec 4, 2023 to Jan 29, 2024
- HNW RAUM · $8.0B to $7.7BDec 4, 2023 to Jan 29, 2024
- Individual RAUM · $645M to $1.1BDec 4, 2023 to Jan 29, 2024
- Pension RAUM · $6.7B to $6.1BDec 4, 2023 to Jan 29, 2024
- Pooled vehicle RAUM · $38.5M to $46.5MDec 4, 2023 to Jan 29, 2024
- RAUM · $34B to $34BDec 4, 2023 to Jan 29, 2024
- Wrap assets (manager) · $174M to $194MDec 4, 2023 to Jan 29, 2024
- Accounts · 7,660 to 7,720Dec 19, 2022 to Jan 26, 2023
- Advisory employees · 65 to 67Dec 19, 2022 to Jan 26, 2023
- Charity clients · 209 to 210Dec 19, 2022 to Jan 26, 2023
Signals
7 dated events
- J••••••••• F••••• L•• no longer on the SEC adviser roster (last listed 2025-09-02, RAUM $38.2B)Dec 20, 2025 · Left the SEC roster · derived
- Maxime Menard (President And Chief Executive Officer) no longer on Schedule A of J••••••••• F••••• L•• (listed 2023-06-06, absent 2023-12-04)Dec 4, 2023 · Control person left · inference
- J••••••••• F••••• L•• reported RAUM $34.1B, down 26% from $45.9B (2022-12-19 to 2023-01-26)Jan 26, 2023 · RAUM change · derived
- Winston Todd Flick (Head Of Private Wealth Management) no longer on Schedule A of J••••••••• F••••• L•• (listed 2021-01-28, absent 2022-01-28)Jan 28, 2022 · Control person left · inference
- J••••••••• F••••• L•• reported RAUM $45.9B, up 29% from $35.6B (2021-01-28 to 2022-01-28)Jan 28, 2022 · RAUM change · derived
- Pierre Gabriel Lapointe (Head Of Private Wealth Management) no longer on Schedule A of J••••••••• F••••• L•• (listed 2020-09-17, absent 2020-11-24)Nov 24, 2020 · Control person left · inference
- Winston Todd Flick (Head Of Private Wealth Management) appeared on Schedule A of J••••••••• F••••• L••Nov 24, 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.
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