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••••••• D• P•••• L••
Latest filing Feb 28, 2023
First filing on the tape Mar 9, 2012 · 22 filings
RAUM
$346M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$346M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$346M as of Feb 27, 2023
Mar 9, 2012$167M then
HNW client RAUM$313M as of Feb 27, 2023
Mar 6, 2018$225M then
State-registered IARs (5.B.3)1 as of Feb 27, 2023
Mar 9, 20120 then
Employees (5.A)3 as of Feb 27, 2023
Mar 26, 20134 then
Private funds: no history
RAUM -13% over the last fiscal year+3.1% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Feb 28, 2023; every figure names its basis
- RAUM per advisor
- $346MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 186derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.7MderivedHNW RAUM over HNW clients
- Average account
- $1.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -13%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.8%derived
- Compensation
- percentage of assets, hourly, subscriptionreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, publications, educational seminarsreportedItem 5.G
- 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$313M90%
- Individuals$33.3M9.6%
- Individual clients
- 69reported
- HNW clients
- 117reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 186reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, 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
- J••••••• D••••••• P••• to D••••• W•••••• L••Oct 2, 2023 · RIA to RIA
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P•••• J•••••••• D••••••• · Managing Member/Chief Compliance Officercontrolsince 01/1987 · owns 75% or more
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 |
|---|---|---|---|---|---|
| Newton, Ma · principal | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 181 to 186Feb 17, 2022 to Feb 27, 2023
- HNW clients · 105 to 117Feb 17, 2022 to Feb 27, 2023
- Individual clients · 76 to 69Feb 17, 2022 to Feb 27, 2023
- Assets in custody · $5.7M to $4.2MFeb 17, 2022 to Feb 27, 2023
- Discretionary RAUM · $399M to $346MFeb 17, 2022 to Feb 27, 2023
- HNW RAUM · $362M to $313MFeb 17, 2022 to Feb 27, 2023
- Individual RAUM · $36.4M to $33.3MFeb 17, 2022 to Feb 27, 2023
- RAUM · $399M to $346MFeb 17, 2022 to Feb 27, 2023
- HNW clients · 106 to 105Jun 1, 2021 to Feb 16, 2022
- Individual clients · 75 to 76Jun 1, 2021 to Feb 16, 2022
- Assets in custody · $5.4M to $5.7MJun 1, 2021 to Feb 16, 2022
- Discretionary RAUM · $354M to $399MJun 1, 2021 to Feb 16, 2022
- HNW RAUM · $330M to $362MJun 1, 2021 to Feb 16, 2022
- Individual RAUM · $23.9M to $36.4MJun 1, 2021 to Feb 16, 2022
- RAUM · $354M to $399MJun 1, 2021 to Feb 16, 2022
- Accounts · 165 to 181May 11, 2020 to Mar 25, 2021
- HNW clients · 93 to 106May 11, 2020 to Mar 25, 2021
- Individual clients · 79 to 75May 11, 2020 to Mar 25, 2021
- Assets in custody · $4.3M to $5.4MMay 11, 2020 to Mar 25, 2021
- Discretionary RAUM · $316M to $354MMay 11, 2020 to Mar 25, 2021
- HNW RAUM · $290M to $330MMay 11, 2020 to Mar 25, 2021
- Individual RAUM · $25.5M to $23.9MMay 11, 2020 to Mar 25, 2021
- RAUM · $316M to $354MMay 11, 2020 to Mar 25, 2021
- Accounts · 834 to 165Mar 6, 2019 to Mar 9, 2020
- Assets in custody · $4.7M to $4.3MMar 6, 2019 to Mar 9, 2020
- Discretionary RAUM · $280M to $316MMar 6, 2019 to Mar 9, 2020
- HNW RAUM · $245M to $290MMar 6, 2019 to Mar 9, 2020
- Individual RAUM · $35.3M to $25.5MMar 6, 2019 to Mar 9, 2020
- RAUM · $280M to $316MMar 6, 2019 to Mar 9, 2020
- Accounts · 946 to 834Mar 6, 2018 to Mar 6, 2019
- Advisory employees · 2 to 1Mar 6, 2018 to Mar 6, 2019
- HNW clients · 92 to 93Mar 6, 2018 to Mar 6, 2019
- Individual clients · 68 to 79Mar 6, 2018 to Mar 6, 2019
- Assets in custody · $5.6M to $4.7MMar 6, 2018 to Mar 6, 2019
- Employees · 4 to 3Mar 6, 2018 to Mar 6, 2019
- Discretionary RAUM · $284M to $280MMar 6, 2018 to Mar 6, 2019
- HNW RAUM · $225M to $245MMar 6, 2018 to Mar 6, 2019
- Individual RAUM · $59.6M to $35.3MMar 6, 2018 to Mar 6, 2019
- RAUM · $284M to $280MMar 6, 2018 to Mar 6, 2019
- Accounts · 768 to 946Aug 1, 2017 to Mar 6, 2018
Signals
2 dated events
- J••••••• D••••••• P••• left J••••••• D• P•••• L•• for D••••• W•••••• L•• (registered 2023-09-27)Oct 2, 2023 · Advisor changed firm · fact
- Werner Erik Thoresen (Chief Operating Officer) no longer on Schedule A of J••••••• D• P•••• L•• (listed 2019-03-06, absent 2020-03-09)Mar 9, 2020 · Control person left · inference
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