DFX Intelligence
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J••••• J••• H••••• J•
Independent wealth managerSEC-registered
Independent wealth manager, reporting $86.8M of regulatory assets.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $86.8M
- Advisors
- 0
- Net advisor flow, 12 months
- Not established
- RAUM change, last fiscal year
- -7.8%
- Private clients
- 98% of RAUM, $85.0M
Form ADV
IAPD
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- Contact points 1
Every filed figure, and the identifiersCRD 109301 · SEC 801-57322 · 17 filingsShowHide
CRD 109301SEC 801-57322Legal name J••••• J••• H•••••• J••First filing on the tape Mar 22, 2012, latest Mar 3, 2026SEC status approved since Mar 15, 2000IAPD
RAUM
$86.8M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$85.0M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$86.8M as of Mar 3, 2026
Mar 22, 2012$108M then
HNW client RAUM$33.1M as of Mar 3, 2026
Feb 8, 2018$54.8M then
State-registered IARs (5.B.3)0 as of Mar 3, 2026
Mar 22, 20120 then
Employees (5.A)1 as of Mar 3, 2026
Feb 21, 20131 then
Private funds: no history
RAUM -7.8% over the last fiscal year-2.8% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 3, 2026; every figure names its basis
Archetypes, each a printed rule
- Mass-affluent RIA · private-client share at least 50 percent, non-HNW individuals at least 60 percent of private-client RAUM
- 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
- $11.0MderivedHNW RAUM over HNW clients
- Average account
- $2.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.1%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
- -7.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -13%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$51.9M60%
- High-net-worth individuals$33.1M38%
- Pension and profit-sharing plans$1.8M2.1%
- Individual clients
- 32reported
- HNW clients
- 3reported
- Pension plan clients
- 1reported
- Charitable clients
- n/areported
- Accounts
- 36reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.98 fund_share=0.0 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••• J•••••• J••• · Sole Proprietor/Chief Compliance Officercontrolsince 10/1990 · owns 75% or more
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 · 41 to 36Mar 11, 2025 to Mar 3, 2026
- HNW clients · 4 to 3Mar 11, 2025 to Mar 3, 2026
- Individual clients · 36 to 32Mar 11, 2025 to Mar 3, 2026
- Discretionary RAUM · $94.1M to $86.8MMar 11, 2025 to Mar 3, 2026
- HNW RAUM · $42.8M to $33.1MMar 11, 2025 to Mar 3, 2026
- Individual RAUM · $49.7M to $51.9MMar 11, 2025 to Mar 3, 2026
- Pension RAUM · $1.6M to $1.8MMar 11, 2025 to Mar 3, 2026
- RAUM · $94.1M to $86.8MMar 11, 2025 to Mar 3, 2026
- Accounts · 39 to 41Mar 5, 2024 to Mar 11, 2025
- Individual clients · 34 to 36Mar 5, 2024 to Mar 11, 2025
- Financial planning clients · 26-50 to 26-50Mar 5, 2024 to Mar 11, 2025
- HQ city · unset to Mar 5, 2024 to Mar 11, 2025
- HQ state · unset to Mar 5, 2024 to Mar 11, 2025
- Discretionary RAUM · $94.8M to $94.1MMar 5, 2024 to Mar 11, 2025
- HNW RAUM · $41.3M to $42.8MMar 5, 2024 to Mar 11, 2025
- Individual RAUM · $51.9M to $49.7MMar 5, 2024 to Mar 11, 2025
- Pension RAUM · $1.6M to $1.6MMar 5, 2024 to Mar 11, 2025
- RAUM · $94.8M to $94.1MMar 5, 2024 to Mar 11, 2025
- Accounts · 50 to 39Mar 9, 2023 to Mar 5, 2024
- HNW clients · 5 to 4Mar 9, 2023 to Mar 5, 2024
- Individual clients · 35 to 34Mar 9, 2023 to Mar 5, 2024
- Discretionary RAUM · $94.5M to $94.8MMar 9, 2023 to Mar 5, 2024
- HNW RAUM · $49.3M to $41.3MMar 9, 2023 to Mar 5, 2024
- Individual RAUM · $41.8M to $51.9MMar 9, 2023 to Mar 5, 2024
- Pension RAUM · $3.5M to $1.6MMar 9, 2023 to Mar 5, 2024
- RAUM · $94.5M to $94.8MMar 9, 2023 to Mar 5, 2024
- Discretionary RAUM · $95.6M to $94.5MMar 3, 2022 to Mar 9, 2023
- HNW RAUM · $50.3M to $49.3MMar 3, 2022 to Mar 9, 2023
- Individual RAUM · $43.1M to $41.8MMar 3, 2022 to Mar 9, 2023
- Pension RAUM · $2.3M to $3.5MMar 3, 2022 to Mar 9, 2023
- RAUM · $95.6M to $94.5MMar 3, 2022 to Mar 9, 2023
- Accounts · 41 to 50Mar 18, 2021 to Mar 3, 2022
- Discretionary RAUM · $94.1M to $95.6MMar 18, 2021 to Mar 3, 2022
- HNW RAUM · $50.1M to $50.3MMar 18, 2021 to Mar 3, 2022
- Individual RAUM · $40.4M to $43.1MMar 18, 2021 to Mar 3, 2022
- Pension RAUM · $3.6M to $2.3MMar 18, 2021 to Mar 3, 2022
- RAUM · $94.1M to $95.6MMar 18, 2021 to Mar 3, 2022
- Accounts · 62 to 41Jun 25, 2020 to Mar 18, 2021
- HNW clients · 6 to 5Jun 25, 2020 to Mar 18, 2021
- Discretionary RAUM · $103M to $94.1MJun 25, 2020 to Mar 18, 2021
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
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Mar 3, 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
- Independent wealth managerderiveda 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