DFX Intelligence
RIA Intelligence
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SEC-registered adviser
S••••• A•••• M••••••••• L••
Latest filing Mar 19, 2026
First filing on the tape Mar 2, 2012 · 20 filings
SEC status approved since Mar 10, 2015
RAUM
$439M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$439M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$439M
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
20 filings and snapshots on the tape
RAUM$439M as of Mar 19, 2026
Mar 2, 2012$69.6M then
HNW client RAUM$431M as of Mar 19, 2026
Mar 8, 2018$206M then
State-registered IARs (5.B.3)0 as of Mar 19, 2026
Mar 2, 20120 then
Employees (5.A)1 as of Mar 19, 2026
Feb 11, 20161 then
Private funds: no history
RAUM +12% over the last fiscal year+20% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 19, 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
- $439MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 63derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $8.3MderivedHNW RAUM over HNW clients
- Average account
- $7.0MderivedRAUM 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
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.1%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 5.G
- Custody
- $349M, 50 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$431M98%
- Individuals$7.7M1.8%
- Individual clients
- 11reported
- HNW clients
- 52reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 63reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $349M for 50 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•• S••••• S••••• | Avon, Ct | Jun 25, 1996 | 30 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- S•••••• J••• S••••• · Managing Member/Chief Compliance Officercontrolsince 05/1996 · 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
2 against comparable advisers; where to look, not conclusions
- unusually large average accountStatic outlier · filing Mar 19, 2026RAUM per account of $6,969,829 against a peer median of $439,994 (5433 comparable advisers, 100.0th percentile, 4.4 robust deviations)peers: independent wealth managers, $100M to $500M (5,433) · 100% percentile
- unusually large average HNW clientStatic outlier · filing Mar 19, 2026HNW RAUM per HNW client of $8,295,935 against a peer median of $2,402,920 (4942 comparable advisers, 99.0th percentile, 4.0 robust deviations)peers: independent wealth managers, $100M to $500M (4,942) · 99% percentile
What changed
consecutive filings, newest first
- Accounts · 65 to 63Apr 10, 2025 to Mar 19, 2026
- HNW clients · 53 to 52Apr 10, 2025 to Mar 19, 2026
- Individual clients · 12 to 11Apr 10, 2025 to Mar 19, 2026
- Assets in custody · $300M to $349MApr 10, 2025 to Mar 19, 2026
- Discretionary RAUM · $393M to $439MApr 10, 2025 to Mar 19, 2026
- HNW RAUM · $385M to $431MApr 10, 2025 to Mar 19, 2026
- Individual RAUM · $7.4M to $7.7MApr 10, 2025 to Mar 19, 2026
- RAUM · $393M to $439MApr 10, 2025 to Mar 19, 2026
- HNW clients · 51 to 53Mar 1, 2024 to Apr 10, 2025
- Individual clients · 14 to 12Mar 1, 2024 to Apr 10, 2025
- Assets in custody · $265M to $300MMar 1, 2024 to Apr 10, 2025
- Financial planning clients · unset to Mar 1, 2024 to Apr 10, 2025
- Discretionary RAUM · $358M to $393MMar 1, 2024 to Apr 10, 2025
- HNW RAUM · $349M to $385MMar 1, 2024 to Apr 10, 2025
- Individual RAUM · $8.5M to $7.4MMar 1, 2024 to Apr 10, 2025
- RAUM · $358M to $393MMar 1, 2024 to Apr 10, 2025
- Accounts · 63 to 65Mar 17, 2023 to Mar 1, 2024
- Individual clients · 12 to 14Mar 17, 2023 to Mar 1, 2024
- Discretionary RAUM · $256M to $358MMar 17, 2023 to Mar 1, 2024
- HNW RAUM · $251M to $349MMar 17, 2023 to Mar 1, 2024
- Individual RAUM · $5.8M to $8.5MMar 17, 2023 to Mar 1, 2024
- RAUM · $256M to $358MMar 17, 2023 to Mar 1, 2024
- Assets in custody · $196M to $265MMar 1, 2024 to Mar 1, 2024
- Accounts · 62 to 63Feb 9, 2022 to Mar 17, 2023
- Individual clients · 11 to 12Feb 9, 2022 to Mar 17, 2023
- Discretionary RAUM · $272M to $256MFeb 9, 2022 to Mar 17, 2023
- HNW RAUM · $267M to $251MFeb 9, 2022 to Mar 17, 2023
- Individual RAUM · $5.0M to $5.8MFeb 9, 2022 to Mar 17, 2023
- RAUM · $272M to $256MFeb 9, 2022 to Mar 17, 2023
- Accounts · 60 to 62Nov 19, 2021 to Feb 9, 2022
- HNW clients · 49 to 51Nov 19, 2021 to Feb 9, 2022
- Discretionary RAUM · $233M to $272MNov 19, 2021 to Feb 9, 2022
- HNW RAUM · $228M to $267MNov 19, 2021 to Feb 9, 2022
- Individual RAUM · $4.6M to $5.0MNov 19, 2021 to Feb 9, 2022
- RAUM · $233M to $272MNov 19, 2021 to Feb 9, 2022
- Accounts · 63 to 60Jun 29, 2020 to Feb 18, 2021
- HNW clients · 48 to 49Jun 29, 2020 to Feb 18, 2021
- Individual clients · 14 to 11Jun 29, 2020 to Feb 18, 2021
- Pension plan clients · 1.0 to unsetJun 29, 2020 to Feb 18, 2021
- Assets in custody · $157M to $196MJun 29, 2020 to Feb 18, 2021
Signals
2 dated events
- S••••• A•••• M••••••••• L•• reported RAUM $357.8M, up 40% from $256.4M (2023-03-17 to 2024-03-01)Mar 1, 2024 · RAUM change · derived
- S••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)Mar 3, 2015 · 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.
How to reach
public business contact points only, each with its source
- Business phone
- 860-676-9756reportedpublished by the firm, firm site, Sep 15, 2026
- Website
- JAYS•••••.COMreportedpublic record, Form ADV, Sep 21, 2026
- Principal office phone
- 860-676-9756reportedpublic record, Form ADV, Mar 19, 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
- $439Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026