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••••• F•••••••• S•••••••••
Legal name J••••• F•••••••• S••••••••• L••
Latest filing Oct 27, 2022
First filing on the tape Jan 13, 2012 · 7 filings
RAUM
$120M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$120M 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
7 filings and snapshots on the tape
RAUM$120M as of Mar 10, 2022
Jan 13, 2012$58.7M then
HNW client RAUM: $19.1M
State-registered IARs (5.B.3)1 as of Mar 10, 2022
Jan 13, 20120 then
Employees (5.A): 1
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Oct 27, 2022; every figure names its basis
- RAUM per advisor
- $120MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 121derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.6MderivedHNW RAUM over HNW clients
- Average account
- $332,036derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%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
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $117M, 118 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$101M84%
- Individuals$19.1M16%
- Charitable organizations$110.0%
- Individual clients
- 59reported
- HNW clients
- 62reported
- Pension plan clients
- 0reported
- Charitable clients
- 1reported
- Accounts
- 362reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $117M for 118 clientsreported
- Compensation
- % of AUM, fixed, hourlyreported
- 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- J•••••• K•••••• R••• · Managing Member And Chief Compliance Officercontrolsince 04/1998 · owns less than 5%
Entity owners
- M••••• G••••• A••••••• I••• · Parent Companydirect · 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
- HNW RAUM · $19.1M to $101MMar 10, 2022 to Mar 11, 2022
- Individual RAUM · $101M to $19.1MMar 10, 2022 to Mar 11, 2022
- Accounts · 376 to 362Jun 6, 2021 to Mar 10, 2022
- Individual clients · 63 to 59Jun 6, 2021 to Mar 10, 2022
- Assets in custody · $107M to $117MJun 6, 2021 to Mar 10, 2022
- Financial planning clients · 11-25 to 1-10Jun 6, 2021 to Mar 10, 2022
- Discretionary RAUM · $111M to $120MJun 6, 2021 to Mar 10, 2022
- HNW RAUM · $90.5M to $19.1MJun 6, 2021 to Mar 10, 2022
- Individual RAUM · $20.3M to $101MJun 6, 2021 to Mar 10, 2022
- RAUM · $111M to $120MJun 6, 2021 to Mar 10, 2022
- Accounts · 119 to 376Jan 13, 2012 to Jan 27, 2021
- Advisory employees · unset to 1.0Jan 13, 2012 to Jan 27, 2021
- BD registered reps · unset to 1.0Jan 13, 2012 to Jan 27, 2021
- Charity clients · unset to 1.0Jan 13, 2012 to Jan 27, 2021
- Corporate clients · unset to 0.0Jan 13, 2012 to Jan 27, 2021
- HNW clients · unset to 62.0Jan 13, 2012 to Jan 27, 2021
- Individual clients · unset to 63.0Jan 13, 2012 to Jan 27, 2021
- Pension plan clients · unset to 0.0Jan 13, 2012 to Jan 27, 2021
- Pooled vehicle clients · unset to 0.0Jan 13, 2012 to Jan 27, 2021
- Assets in custody · unset to 106838334.0Jan 13, 2012 to Jan 27, 2021
- Custody of client assets · false to trueJan 13, 2012 to Jan 27, 2021
- Employees · unset to 1.0Jan 13, 2012 to Jan 27, 2021
- Insurance-licensed employees · 1 to 0Jan 13, 2012 to Jan 27, 2021
- Financial planning clients · 101-250 to 11-25Jan 13, 2012 to Jan 27, 2021
- State-registered IARs · 0 to 1Jan 13, 2012 to Jan 27, 2021
- Other offices · unset to 0.0Jan 13, 2012 to Jan 27, 2021
- Discretionary RAUM · $47.7M to $111MJan 13, 2012 to Jan 27, 2021
- HNW RAUM · unset to 90537924.0Jan 13, 2012 to Jan 27, 2021
- Individual RAUM · unset to 20274686.0Jan 13, 2012 to Jan 27, 2021
- Non-discretionary RAUM · $11.0M to $0Jan 13, 2012 to Jan 27, 2021
- RAUM · $58.7M to $111MJan 13, 2012 to Jan 27, 2021
Signals
1 dated events
- J••••• F•••••••• S••••••••• filed its initial SEC registration (Form ADV)Jan 27, 2021 · First SEC registration · 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