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.

Former SEC-registered adviser

J P Turner & Company Capital Management, LLC

Former SEC-registered adviserAtlanta, GeorgiaCRD 124446SEC 801-67970IAPD
Latest filing Dec 28, 2015
First filing on the tape Nov 29, 2011 · 25 filings
RAUM
$452M
reported, Item 5.F
Discretionary
99%
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
152
152 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
5
$13.2M gross assets
History
25 filings and snapshots on the tape
RAUM$452M as of Mar 30, 2015
Mar 28, 2012$258M then
HNW client RAUM: no history
State-registered IARs (5.B.3)152 as of Mar 30, 2015
Mar 19, 2013169 then
Employees (5.A)152 as of Mar 30, 2015
Mar 19, 2013173 then
Private funds5 as of Mar 30, 2015
Mar 28, 20126 then
RAUM +28% over the last fiscal year+21% a year over threeIARs 162 to 152
Practice profile
derived from the filing of Dec 28, 2015; every figure names its basis
RAUM per advisor
$3.0MderivedRAUM 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
$148,799derivedRAUM over accounts (5.F.2.f)
Discretionary
99%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
21.7derived7 offices incl. principal (1.F.5)
RAUM growth, one year
+28%derivedbetween the last two annual amendments
Advisor growth, one year
-6.2%derivedItem 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 individuals, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
Custody
yesreportedItem 9.A
Ownership
controlled by a public reporting companyderived
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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • controlled by a public reporting company (10.A)
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
3,037reported
Financial planning clients
51-100reported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 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
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    9 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    Turner Investment Fund XiPrivate Equity Fund$6.8M88Mar 30, 2015
    Turner Investment Fund ViiiPrivate Equity Fund$3.7M38Mar 30, 2015
    Prmt Investment Group, LLCPrivate Equity Fund$2.6M22Mar 19, 2013
    Turner Investment Fund IIPrivate Equity Fund$97,69312Mar 28, 2012
    Turner Investment Fund Ino longer reportedPrivate Equity Fund$090Mar 28, 2012
    Turner Investment Fund IV, LLCPrivate Equity Fund$044Mar 28, 2012
    Turner Investment Fund V, LLCno longer reportedPrivate Equity Fund$067Mar 28, 2012
    Turner Investment Fund IIIno longer reportedPrivate Equity Fund$095Mar 28, 2012
    Turner Investement Fund Vi, LLCno longer reportedPrivate Equity Fund$030Mar 28, 2012
    Owners and control persons
    Schedule A and B, latest filing
    • Datees Clinton Gharib · Director Of Managed Productscontrol
      since 11/2003 · owns less than 5%
    • Rodney Kresge · Directorcontrol
      since 11/2010 · owns less than 5%
    • Norman Reed Lengel · Svpcontrol
      since 12/2012 · owns less than 5%
    • Brett Adam Simon · Vice President Of Operationscontrol
      since 01/2005 · owns less than 5%
    • Anthony Dean Vernoia · Chief Operating Officercontrol
      since 08/2003 · owns less than 5%
    • Barnett Edward Woll · Chief Compliance Officercontrol
      since 10/2011 · owns less than 5%
    Entity owners
    • Braves Aquisition LLC · Member
      direct · owns 75% or more
    • Rcs Capital Corporation · Member
      indirect · owns 75% or more of Rcs Capital Holdings, LLC · public reporting company
    • Rcs Capital Holdings · Member
      indirect · owns 75% or more of Braves Aquisition, LLC
    Related persons
    Schedule D 7.A
    Advisers that list J P Turner & Company Capital Management, LLC as a related person
    Offices
    Schedule D 1.F, the 25 largest
    • Altoona, PA
    • Atlanta, GA
    • Colorado Springs, CO
    • Indian Wells, CA
    • Marlton, NJ
    • Tustin, CA
    What changed
    consecutive filings, newest first
    • Accounts · 2,358 to 3,037
      Mar 3, 2015 to Mar 30, 2015
    • Advisory employees · 162 to 152
      Mar 3, 2015 to Mar 30, 2015
    • BD registered reps · 162 to 152
      Mar 3, 2015 to Mar 30, 2015
    • Employees · 162 to 152
      Mar 3, 2015 to Mar 30, 2015
    • State-registered IARs · 162 to 152
      Mar 3, 2015 to Mar 30, 2015
    • Private funds · 3 to 5
      Mar 3, 2015 to Mar 30, 2015
    • Discretionary RAUM · $332M to $447M
      Mar 3, 2015 to Mar 30, 2015
    • Non-discretionary RAUM · $22.1M to $4.6M
      Mar 3, 2015 to Mar 30, 2015
    • RAUM · $354M to $452M
      Mar 3, 2015 to Mar 30, 2015
    • Related adviser · false to true
      May 29, 2014 to Jun 23, 2014
    • Private funds · 7 to 3
      Mar 28, 2014 to Apr 1, 2014
    • Accounts · 2,186 to 2,358
      Oct 3, 2013 to Mar 28, 2014
    • Advisory employees · 173 to 162
      Oct 3, 2013 to Mar 28, 2014
    • BD registered reps · 169 to 162
      Oct 3, 2013 to Mar 28, 2014
    • Employees · 173 to 162
      Oct 3, 2013 to Mar 28, 2014
    • State-registered IARs · 169 to 162
      Oct 3, 2013 to Mar 28, 2014
    • Discretionary RAUM · $152M to $332M
      Oct 3, 2013 to Mar 28, 2014
    • Non-discretionary RAUM · $142M to $22.1M
      Oct 3, 2013 to Mar 28, 2014
    • RAUM · $293M to $354M
      Oct 3, 2013 to Mar 28, 2014
    • Accounts · 2,429 to 2,186
      Feb 15, 2013 to Mar 19, 2013
    • BD registered reps · 181 to 169
      Feb 15, 2013 to Mar 19, 2013
    • Assets in custody · unset to 0.0
      Feb 15, 2013 to Mar 19, 2013
    • Custody of client assets · false to true
      Feb 15, 2013 to Mar 19, 2013
    • Employees · 181 to 173
      Feb 15, 2013 to Mar 19, 2013
    • State-registered IARs · 173 to 169
      Feb 15, 2013 to Mar 19, 2013
    • Private funds · 6 to 7
      Feb 15, 2013 to Mar 19, 2013
    • Discretionary RAUM · $131M to $152M
      Feb 15, 2013 to Mar 19, 2013
    • Non-discretionary RAUM · $127M to $142M
      Feb 15, 2013 to Mar 19, 2013
    • RAUM · $258M to $293M
      Feb 15, 2013 to Mar 19, 2013
    • Advisory employees · unset to 173.0
      Oct 2, 2012 to Feb 6, 2013
    • BD registered reps · unset to 181.0
      Oct 2, 2012 to Feb 6, 2013
    • Employees · unset to 181.0
      Oct 2, 2012 to Feb 6, 2013
    • State-registered IARs · unset to 173.0
      Oct 2, 2012 to Feb 6, 2013
    • Accounts · 1,393 to 2,429
      Nov 29, 2011 to Mar 28, 2012
    • Advisory activities · 3 to 4
      Nov 29, 2011 to Mar 28, 2012
    • Insurance-licensed employees · unset to 0.0
      Nov 29, 2011 to Mar 28, 2012
    • Financial planning clients · 1-10 to 51-100
      Nov 29, 2011 to Mar 28, 2012
    • Private funds · unset to 6
      Nov 29, 2011 to Mar 28, 2012
    • Discretionary RAUM · $70.4M to $131M
      Nov 29, 2011 to Mar 28, 2012
    • Non-discretionary RAUM · $125M to $127M
      Nov 29, 2011 to Mar 28, 2012
    Signals
    No event on the tape.
    Across DFX
    shared identifiers only, never a name match
    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