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••••••••• L••
Latest filing Jan 10, 2026
First filing on the tape Feb 7, 2012 · 30 filings
SEC status approved since Jul 22, 2011
RAUM
$121M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$121M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$121M
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
30 filings and snapshots on the tape
RAUM$121M as of Jan 10, 2026
Feb 7, 2012$35.5M then
HNW client RAUM$120M as of Jan 10, 2026
Jan 17, 2018$66.7M then
State-registered IARs (5.B.3)1 as of Jan 10, 2026
Feb 7, 20120 then
Employees (5.A)1 as of Jan 10, 2026
Feb 12, 20131 then
Private funds1 as of Jan 14, 2021
Feb 7, 20121 then
RAUM +16% over the last fiscal year+15% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Jan 10, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $121MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 50derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.9MderivedHNW RAUM over HNW clients
- Average account
- $653,758derivedRAUM 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
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +0.0%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individualsreportedItem 5.G
- Custody
- $1.7M, 5 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)
- 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$120M99%
- Individuals$998,4730.8%
- Individual clients
- 8reported
- HNW clients
- 42reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 185reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.7M for 5 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• G• B••••• | New York, Ny | Feb 11, 2021 | 29 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
none on the tape
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| J••••••• F••• L•••no longer reported | Other Private Fund | $2.6M | 8 | Feb 7, 2012 |
| E•••• V••••••• L••no longer reported | Venture Capital Fund | $594,398 | 18 | May 30, 2014 |
Owners and control persons
Schedule A and B, latest filing
- B•••••• J••••• G• · Managing Member & Chief Compliance Officercontrolsince 06/2000 · 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.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- compensation changedChange between filings · filing Jan 10, 2026performance-based compensation (Item 5.E.6): yes on the filing of 2025-01-09, no on the filing of 2026-01-10peers: independent wealth managers, $100M to $500M (5,678)
What changed
consecutive filings, newest first
- Accounts · 182 to 185Jan 9, 2025 to Jan 10, 2026
- Assets in custody · $1.7M to $1.7MJan 9, 2025 to Jan 10, 2026
- Discretionary RAUM · $104M to $121MJan 9, 2025 to Jan 10, 2026
- HNW RAUM · $103M to $120MJan 9, 2025 to Jan 10, 2026
- Individual RAUM · $978,126 to $998,473Jan 9, 2025 to Jan 10, 2026
- RAUM · $104M to $121MJan 9, 2025 to Jan 10, 2026
- Accounts · 179 to 182Jan 10, 2024 to Jan 9, 2025
- Advisory employees · 0 to 1Jan 10, 2024 to Jan 9, 2025
- HNW clients · 44 to 42Jan 10, 2024 to Jan 9, 2025
- Assets in custody · $8.9M to $1.7MJan 10, 2024 to Jan 9, 2025
- Financial planning clients · 26-50 to 26-50Jan 10, 2024 to Jan 9, 2025
- State-registered IARs · 0 to 1Jan 10, 2024 to Jan 9, 2025
- Discretionary RAUM · $94.7M to $104MJan 10, 2024 to Jan 9, 2025
- HNW RAUM · $93.7M to $103MJan 10, 2024 to Jan 9, 2025
- Individual RAUM · $1.0M to $978,126Jan 10, 2024 to Jan 9, 2025
- RAUM · $94.7M to $104MJan 10, 2024 to Jan 9, 2025
- Accounts · 165 to 179Jan 10, 2023 to Jan 10, 2024
- HNW clients · 43 to 44Jan 10, 2023 to Jan 10, 2024
- Individual clients · 9 to 8Jan 10, 2023 to Jan 10, 2024
- Assets in custody · $1.5M to $8.9MJan 10, 2023 to Jan 10, 2024
- Employees · 0 to 1Jan 10, 2023 to Jan 10, 2024
- Discretionary RAUM · $79.8M to $94.7MJan 10, 2023 to Jan 10, 2024
- HNW RAUM · $78.8M to $93.7MJan 10, 2023 to Jan 10, 2024
- Individual RAUM · $1.1M to $1.0MJan 10, 2023 to Jan 10, 2024
- RAUM · $79.8M to $94.7MJan 10, 2023 to Jan 10, 2024
- Accounts · 162 to 165Jun 6, 2022 to Jan 10, 2023
- HNW clients · 40 to 43Jun 6, 2022 to Jan 10, 2023
- Individual clients · 12 to 9Jun 6, 2022 to Jan 10, 2023
- Assets in custody · $1.4M to $1.5MJun 6, 2022 to Jan 10, 2023
- Discretionary RAUM · $88.7M to $79.8MJun 6, 2022 to Jan 10, 2023
- HNW RAUM · $86.7M to $78.8MJun 6, 2022 to Jan 10, 2023
- Individual RAUM · $1.9M to $1.1MJun 6, 2022 to Jan 10, 2023
- RAUM · $88.7M to $79.8MJun 6, 2022 to Jan 10, 2023
- Accounts · 156 to 162Mar 16, 2021 to Jan 12, 2022
- Advisory activities · 3 to 2Mar 16, 2021 to Jan 12, 2022
- Pooled vehicle clients · 1 to 0Mar 16, 2021 to Jan 12, 2022
- Assets in custody · $3.6M to $1.4MMar 16, 2021 to Jan 12, 2022
- Private funds · 1 to unsetMar 16, 2021 to Jan 12, 2022
- Discretionary RAUM · $84.9M to $88.7MMar 16, 2021 to Jan 12, 2022
- HNW RAUM · $79.2M to $86.7MMar 16, 2021 to Jan 12, 2022
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- J••••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- J•••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-388-9873reportedpublic record, Form ADV, Jan 10, 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
- $121Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026