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••••••• L•••• A•••• M••••••••• I••
Latest filing Jun 10, 2014
First filing on the tape Jan 27, 2012 · 8 filings
RAUM
$168M
reported, Item 5.F
Discretionary
83%
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
4
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$168M as of Feb 11, 2014
Mar 28, 2012$124M then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Feb 11, 2014
Mar 28, 20134 then
Employees (5.A)4 as of Feb 11, 2014
Mar 28, 20134 then
Private funds: no history
RAUM +17% over the last fiscal yearIARs 4 to 4
Practice profile
derived from the filing of Jun 10, 2014; every figure names its basis
- RAUM per advisor
- $42.1MderivedRAUM 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
- $910,649derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 83%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
- 4.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 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)
- 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 185reported
- Financial planning clients
- 0reported
- 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
- E•••••••• A•• R••••••••• to F••••• N•••• F•••••• D•••••• I•••••••••Feb 24, 2015 · Other
- P••••••• H••••••• D•••••• to C•••••••• I••••••••• R••••••• A•••••••• I•••Feb 24, 2015 · Other
- R•••• A••• M••••• to N•• P•••••• P••••••• L••Feb 13, 2015 · Other
- D•••• L••••••• S••••• to N•• P•••••• P••••••• L••Jan 16, 2015 · Other
- J••••• A•••• O••• to N•• P•••••• P••••••• L••Jan 16, 2015 · Other
- J••• F••••••• C••••• to F••••• N•••• F•••••• D•••••• I•••••••••Dec 11, 2014 · Other
- B•••• E••••• C••• to F••••• N•••• F•••••• D•••••• I•••••••••Nov 7, 2014 · Other
- E•••••••• A•• R••••••••• to J•••••••• L•••• • C•• I•••••••••Dec 31, 2011 · Other
- J••• F••••••• C••••• to J•••••••• L•••• • C•• I•••••••••Dec 31, 2011 · Other
- B•••• E••••• C••• to J•••••••• L•••• • C•• I•••••••••Dec 31, 2011 · Other
- J•••••• R••••• D•••• to J•••••••• L•••• • C•• I•••••••••Apr 14, 2010 · Other
- N•••••• K• F• D•••• to J•••••••• L•••• • C•• I•••••••••Apr 14, 2010 · Other
- J••• P•••••• M••••••••• to J•••••••• L•••• • C•• I•••••••••Apr 14, 2010 · Other
- B••••••• Y••• W•••• to J•••••••• L•••• • C•• I•••••••••Feb 25, 2009 · Other
- M••••••• H•••• N•••• to F•••••• B•••• W••••• L••Apr 10, 2007 · Other
Joined, latest
- E•••••••• A•• R••••••••• from J•••••••• L•••• • C•• I•••••••••Mar 13, 2012 · Other
- J••• F••••••• C••••• from J•••••••• L•••• • C•• I•••••••••Mar 13, 2012 · Other
- B•••• E••••• C••• from J•••••••• L•••• • C•• I•••••••••Mar 13, 2012 · Other
- J••••• A•••• O••• from M••••• S•••••• D• I•••Mar 23, 2006 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for N•• P•••••• P••••••• L••Jan 16, 2015 · Washington, Dc
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• K••••••• I•••• · Chief Compliance Officer / Sec/Treascontrolsince 02/2007 · owns less than 5%
- W••••••• T•••••• T••••••• · Chairmancontrolsince 09/1995 · owns less than 5%
- L••••• J••••• H••••• · Shareholder Of Holding Co.controlsince 01/1990 · owns 50% to 75% of J•••••••-L•••• & Co. Inc.
- C•••••• J•••• F••••••• · Managersince 01/2011 · owns less than 5%
Entity owners
- J•••••••• L•••• • C•• I••••••••• · Parent Corporationdirect · owns 75% or more
Related persons
Schedule D 7.A
- J•••••••• L•••• • C•• I•••••••••broker-dealerreal estatecustodiany
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 158 to 185Mar 28, 2013 to Feb 11, 2014
- Discretionary RAUM · $114M to $140MMar 28, 2013 to Feb 11, 2014
- Non-discretionary RAUM · $30.2M to $28.9MMar 28, 2013 to Feb 11, 2014
- RAUM · $144M to $168MMar 28, 2013 to Feb 11, 2014
- Accounts · 193 to 158Jan 16, 2013 to Mar 28, 2013
- Discretionary RAUM · $96.0M to $114MJan 16, 2013 to Mar 28, 2013
- Non-discretionary RAUM · $27.8M to $30.2MJan 16, 2013 to Mar 28, 2013
- RAUM · $124M to $144MJan 16, 2013 to Mar 28, 2013
- Advisory employees · unset to 3.0Mar 28, 2012 to Jan 16, 2013
- BD registered reps · unset to 3.0Mar 28, 2012 to Jan 16, 2013
- Employees · unset to 4.0Mar 28, 2012 to Jan 16, 2013
- State-registered IARs · unset to 4.0Mar 28, 2012 to Jan 16, 2013
- Accounts · 169 to 193Mar 21, 2012 to Mar 28, 2012
- Discretionary RAUM · $127M to $96.0MMar 21, 2012 to Mar 28, 2012
- Non-discretionary RAUM · $33.4M to $27.8MMar 21, 2012 to Mar 28, 2012
- RAUM · $160M to $124MMar 21, 2012 to Mar 28, 2012
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