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••• S•••••• • C••• P•••
Latest filing Jun 17, 2026
First filing on the tape Mar 30, 2012 · 19 filings
SEC status approved since Aug 8, 1997
RAUM
$213M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
48%
$102M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$71.0M
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$213M as of Jun 17, 2026
Mar 30, 2012$93.9M then
HNW client RAUM$39.0M as of Jun 17, 2026
Mar 31, 2018$13.5M then
State-registered IARs (5.B.3)2 as of Jun 17, 2026
Mar 30, 20120 then
Employees (5.A)4 as of Jun 17, 2026
Mar 26, 20134 then
Private funds: no history
RAUM +20% over the last fiscal year+17% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jun 17, 2026; every figure names its basis
- RAUM per advisor
- $71.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 103derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $540,873derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 25%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +20%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.0%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, otherreportedItem 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
- Individuals$63.3M30%
- Corporations and businesses$58.0M27%
- Pension and profit-sharing plans$51.2M24%
- High-net-worth individuals$39.0M18%
- Charitable organizations$1.6M0.8%
- Individual clients
- 284reported
- HNW clients
- 24reported
- Pension plan clients
- 21reported
- Charitable clients
- 15reported
- Accounts
- 394reported
- Financial planning clients
- 51-100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.48 fund_share=0.0 institutional_share=0.25 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••• E•••• S•••••• | Dallas, Tx | Jan 2, 1998 | 34 y | 0 |
| K••• E•••• S•••••• | Dallas, Tx | Sep 14, 2018 | 15 y | 0 |
| J•• L••• S•••••• | Dallas, Tx | Jul 6, 2026 | 12 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- E••• D•••• K••• to E•• A•••••••Apr 10, 2018 · RIA to a state-registered adviser
- J••••• G••• P••••• to S••••••••• A•••••• A•••••••• I•••Nov 5, 2007 · Other
Joined, latest
- E••• D•••• K••• from E•• F•••••••• A•••••••• P•Feb 6, 2009 · Other
- J••••• G••• P••••• from C••••••••• F•••••••• S•••••••• I•••Apr 4, 2007 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• K•••• R•••• · Chief Compliance Officercontrolsince 01/2011 · owns less than 5%
- S••••••• J•••• E•••• · Presidentcontrolsince 07/1997 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Dallas, Tx · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 386 to 394Oct 22, 2025 to Mar 30, 2026
- Advisory activities · 5 to 6Oct 22, 2025 to Mar 30, 2026
- Charity clients · 13 to 15Oct 22, 2025 to Mar 30, 2026
- Corporate clients · 41 to 50Oct 22, 2025 to Mar 30, 2026
- HNW clients · 15 to 24Oct 22, 2025 to Mar 30, 2026
- Individual clients · 290 to 284Oct 22, 2025 to Mar 30, 2026
- Pension plan clients · 27 to 21Oct 22, 2025 to Mar 30, 2026
- Discretionary RAUM · $178M to $213MOct 22, 2025 to Mar 30, 2026
- HNW RAUM · $23.7M to $39.0MOct 22, 2025 to Mar 30, 2026
- Individual RAUM · $56.3M to $63.3MOct 22, 2025 to Mar 30, 2026
- Pension RAUM · $46.9M to $51.2MOct 22, 2025 to Mar 30, 2026
- RAUM · $178M to $213MOct 22, 2025 to Mar 30, 2026
- Accounts · 400 to 386Mar 28, 2024 to Mar 27, 2025
- Charity clients · 10 to 13Mar 28, 2024 to Mar 27, 2025
- Corporate clients · 39 to 41Mar 28, 2024 to Mar 27, 2025
- HNW clients · 17 to 15Mar 28, 2024 to Mar 27, 2025
- Individual clients · 329 to 290Mar 28, 2024 to Mar 27, 2025
- Pension plan clients · 5 to 27Mar 28, 2024 to Mar 27, 2025
- Financial planning clients · 51-100 to 51-100Mar 28, 2024 to Mar 27, 2025
- Discretionary RAUM · $149M to $178MMar 28, 2024 to Mar 27, 2025
- HNW RAUM · $27.2M to $23.7MMar 28, 2024 to Mar 27, 2025
- Individual RAUM · $82.9M to $56.3MMar 28, 2024 to Mar 27, 2025
- Pension RAUM · $1.3M to $46.9MMar 28, 2024 to Mar 27, 2025
- RAUM · $149M to $178MMar 28, 2024 to Mar 27, 2025
- Accounts · 380 to 400Mar 31, 2023 to Mar 28, 2024
- Corporate clients · 36 to 39Mar 31, 2023 to Mar 28, 2024
- HNW clients · 40 to 17Mar 31, 2023 to Mar 28, 2024
- Individual clients · 289 to 329Mar 31, 2023 to Mar 28, 2024
- Discretionary RAUM · $133M to $149MMar 31, 2023 to Mar 28, 2024
- HNW RAUM · $59.2M to $27.2MMar 31, 2023 to Mar 28, 2024
- Individual RAUM · $41.6M to $82.9MMar 31, 2023 to Mar 28, 2024
- Pension RAUM · $1.0M to $1.3MMar 31, 2023 to Mar 28, 2024
- RAUM · $133M to $149MMar 31, 2023 to Mar 28, 2024
- Accounts · 358 to 380Mar 31, 2022 to Mar 31, 2023
- Charity clients · 9 to 10Mar 31, 2022 to Mar 31, 2023
- Corporate clients · 27 to 36Mar 31, 2022 to Mar 31, 2023
- HNW clients · 49 to 40Mar 31, 2022 to Mar 31, 2023
- Individual clients · 268 to 289Mar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $154M to $133MMar 31, 2022 to Mar 31, 2023
- HNW RAUM · $74.7M to $59.2MMar 31, 2022 to Mar 31, 2023
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.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/jesimmonscoreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 972-404-1040reportedpublic record, Form ADV, Jun 17, 2026
- Team page
- jesimmons.com/teamreportedpublished by the firm, firm site, Sep 16, 2026
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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $71.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026