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
H•••••• J••••••• G••••• A••••••• L••
Latest filing Jul 30, 2026
First filing on the tape Mar 28, 2012 · 26 filings
SEC status approved since Mar 26, 1985
RAUM
$8.8B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
10%
$897M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$4.4B
derived; firm RAUM over IAPD count
Employees
27
14 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
8
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$8.8B as of Jul 30, 2026
Mar 28, 2012$2.2B then
HNW client RAUM$873M as of Jul 30, 2026
Mar 27, 2018$689M then
State-registered IARs (5.B.3)0 as of Jul 30, 2026
Mar 28, 20130 then
Employees (5.A)27 as of Jul 30, 2026
Mar 28, 201319 then
Private funds8 as of Jul 30, 2026
Mar 28, 20125 then
RAUM +32% over the last fiscal year+8.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 30, 2026; every figure names its basis
- RAUM per advisor
- $4.4BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 89derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $5.4MderivedHNW RAUM over HNW clients
- Average account
- $33.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 37%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 13.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +32%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
- Custody
- $1.5B, 6 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)
- 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$4.4B50%
- State and municipal entities$1.5B17%
- Pension and profit-sharing plans$1.1B12%
- High-net-worth individuals$873M10.0%
- Charitable organizations$640M7.3%
- Corporations and businesses$128M1.5%
- Investment companies$125M1.4%
- Individuals$23.8M0.3%
- Individual clients
- 17reported
- HNW clients
- 161reported
- Pension plan clients
- 20reported
- Charitable clients
- 34reported
- Accounts
- 263reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.5B for 6 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.1 fund_share=0.52 institutional_share=0.37 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| R•••••• J••••••• | Stamford, Ct | Aug 23, 1995 | 41 y | 0 |
| J•••• G••••• P•••••• | Stamford, Ct | May 9, 2011 | 32 y | 1 |
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
none on the tape
Joined, latest
- J•••• G••••• P•••••• from T•• W••••••••• G••••• I•••May 9, 2011 · Other
Private funds
9 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| H•••••• J••••••• I••••••••• E••••• G•••• T•••• | Other Private Fund | $2.3B | 96 | Mar 30, 2016 |
| H•••••• J••••••• I••••••••• E••••• F••• I•• L••• | Other Private Fund | $857M | 104 | Mar 28, 2012 |
| J••••••• I••••••••• E••••• G•••• T••••no longer reported | Other Private Fund | $789M | 52 | Mar 28, 2012 |
| H•••••• J••••••• C•••••• P••••••• F••• I• L••• | Other Private Fund | $54.6M | 30 | Mar 28, 2012 |
| H•••••• J••••••• G••••• E••••• G•••• T•••• | Other Private Fund | $39.2M | 1 | Mar 30, 2016 |
| J••••••• G••••• G•••• T••••no longer reported | Other Private Fund | $28.7M | 2 | Mar 28, 2012 |
| H•••••• J••••••• U• C••••••••• G••••• F•••• L••• | Other Private Fund | $11.1M | 7 | Mar 30, 2017 |
| H•••••• J••••••• I••••••••• E••••• F••• I• L••• | Other Private Fund | $7.2M | 9 | Mar 28, 2012 |
| H•••••• J••••••• E••••••• M•••••• E••••• F•••• L••• | Other Private Fund | $7.2M | 8 | Mar 30, 2017 |
Owners and control persons
Schedule A and B, latest filing
- A•••••• B••••• A••• · General Counsel & Chief Compliance Officercontrolsince 07/2016 · owns less than 5%
- H••••••• C••••••••• A• · Chief Investment Officer, Ceo, Directorcontrolsince 09/2017 · owns less than 5%
- M••••• J••••••• S••••• · President, Directorcontrolsince 01/2013 · owns less than 5%
- O•••••••• J••••• A•• · Chief Operating Officercontrolsince 12/2008 · owns less than 5%
- H••••••• C••••••••• A• · Shareholdercontrolsince 03/2016 · owns 50% to 75% of H•••••• J••••••• S• H•••••• I•••
Entity owners
- H•••••• J••••••• M•••• L•• · Memberdirect · owns 75% or more
- H•••••• J••••••• S• H•••••• I••• · Memberindirect · owns 75% or more of H•••••• J••••••• M•••• L••
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 |
|---|---|---|---|---|---|
| Stamford, Ct · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 265 to 263Mar 25, 2025 to Mar 25, 2026
- Advisory employees · 12 to 14Mar 25, 2025 to Mar 25, 2026
- Charity clients · 31 to 34Mar 25, 2025 to Mar 25, 2026
- Corporate clients · 15 to 17Mar 25, 2025 to Mar 25, 2026
- HNW clients · 167 to 161Mar 25, 2025 to Mar 25, 2026
- Individual clients · 11 to 17Mar 25, 2025 to Mar 25, 2026
- Pension plan clients · 28 to 20Mar 25, 2025 to Mar 25, 2026
- Assets in custody · $943M to $1.5BMar 25, 2025 to Mar 25, 2026
- Employees · 29 to 27Mar 25, 2025 to Mar 25, 2026
- Private funds · 7 to 8Mar 25, 2025 to Mar 25, 2026
- Discretionary RAUM · $6.7B to $8.8BMar 25, 2025 to Mar 25, 2026
- HNW RAUM · $781M to $873MMar 25, 2025 to Mar 25, 2026
- Individual RAUM · $4.0M to $23.8MMar 25, 2025 to Mar 25, 2026
- Pension RAUM · $1.1B to $1.1BMar 25, 2025 to Mar 25, 2026
- Pooled vehicle RAUM · $3.7B to $4.4BMar 25, 2025 to Mar 25, 2026
- RAUM · $6.7B to $8.8BMar 25, 2025 to Mar 25, 2026
- Accounts · 295 to 265Mar 25, 2024 to Mar 25, 2025
- Charity clients · 32 to 31Mar 25, 2024 to Mar 25, 2025
- Corporate clients · 19 to 15Mar 25, 2024 to Mar 25, 2025
- HNW clients · 185 to 167Mar 25, 2024 to Mar 25, 2025
- Pension plan clients · 32 to 28Mar 25, 2024 to Mar 25, 2025
- Pooled vehicle clients · 11 to 10Mar 25, 2024 to Mar 25, 2025
- Assets in custody · $937M to $943MMar 25, 2024 to Mar 25, 2025
- Financial planning clients · unset to Mar 25, 2024 to Mar 25, 2025
- Discretionary RAUM · $6.8B to $6.7BMar 25, 2024 to Mar 25, 2025
- HNW RAUM · $723M to $781MMar 25, 2024 to Mar 25, 2025
- Individual RAUM · $3.5M to $4.0MMar 25, 2024 to Mar 25, 2025
- Pension RAUM · $1.2B to $1.1BMar 25, 2024 to Mar 25, 2025
- Pooled vehicle RAUM · $3.9B to $3.7BMar 25, 2024 to Mar 25, 2025
- RAUM · $6.8B to $6.7BMar 25, 2024 to Mar 25, 2025
- Accounts · 324 to 295Mar 22, 2023 to Mar 25, 2024
- Advisory employees · 13 to 12Mar 22, 2023 to Mar 25, 2024
- Corporate clients · 25 to 19Mar 22, 2023 to Mar 25, 2024
- HNW clients · 206 to 185Mar 22, 2023 to Mar 25, 2024
- Individual clients · 10 to 11Mar 22, 2023 to Mar 25, 2024
- Pension plan clients · 35 to 32Mar 22, 2023 to Mar 25, 2024
- Assets in custody · $986M to $937MMar 22, 2023 to Mar 25, 2024
- Employees · 30 to 29Mar 22, 2023 to Mar 25, 2024
- Discretionary RAUM · $6.9B to $6.8BMar 22, 2023 to Mar 25, 2024
- HNW RAUM · $642M to $723MMar 22, 2023 to Mar 25, 2024
Signals
7 dated events
- H•••••• J••••••• G••••• A••••••• L•• reported RAUM $8.8B, up 32% from $6.7B (2025-03-25 to 2026-03-25)Mar 25, 2026 · RAUM change · derived
- R•••••• J••••••• (Portfolio Manager, Director) no longer on Schedule A of H•••••• J••••••• G••••• A••••••• L•• (listed 2023-03-22, absent 2024-03-25)Mar 25, 2024 · Control person left · inference
- H•••••• J••••••• G••••• A••••••• L•• reported RAUM $6.9B, down 29% from $9.8B (2022-03-24 to 2023-03-22)Mar 22, 2023 · RAUM change · derived
- H•••••• J••••••• G••••• A••••••• L•• reported RAUM $9.5B, up 41% from $6.8B (2020-05-12 to 2021-03-26)Mar 26, 2021 · RAUM change · derived
- H•••••• J••••••• G••••• A••••••• L•• reported RAUM $6.8B, up 31% from $5.1B (2019-03-25 to 2020-03-18)Mar 18, 2020 · RAUM change · derived
- H•••••• J••••••• G••••• A••••••• L•• reported RAUM $6.0B, up 35% from $4.5B (2017-09-29 to 2018-03-27)Mar 27, 2018 · RAUM change · derived
- J••••••• A•••• M••••••••• C••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Mar 30, 2016 · Succession (Item 4) · fact
Across DFX
shared identifiers only, never a name match
- H•••••• J••••••• G••••• A••••••• L•• · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/J•••••••-ASSET-MANAGEMENTreportedpublic record, Form ADV, Sep 19, 2026
- Website
- H••••••J•••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 203-324-4722reportedpublic record, Form ADV, Jul 30, 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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $4.4Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026