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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

J•••••• A•••• M•••••••••

Former SEC-registered adviserCRD 132313SEC 801-63470IAPD
Legal name M•••• L••
Latest filing Jul 15, 2022
First filing on the tape Jan 23, 2012 · 22 filings
RAUM
$705M
reported, Item 5.F
Discretionary
100%
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
5
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$705M as of Mar 31, 2022
Jan 23, 2012$1.8B then
HNW client RAUM$0 as of Mar 31, 2022
Mar 27, 2018$0 then
State-registered IARs (5.B.3)3 as of Mar 31, 2022
Jan 23, 20120 then
Employees (5.A)5 as of Mar 31, 2022
Mar 28, 20136 then
Private funds: no history
RAUM -25% over the last fiscal year-9.7% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Jul 15, 2022; every figure names its basis
RAUM per advisor
$235MderivedRAUM 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
$64.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
98%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.7derivedItem 5.A over advisors
Advisors per office
1.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-25%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, otherreportedItem 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)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Charitable organizations$610M87%
  • Pension and profit-sharing plans$81.9M12%
  • Other investment advisers$12.8M1.8%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
2reported
Charitable clients
2reported
Accounts
11reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • M••••• J•••• K•••••• · Chief Executive Officer & Chief Compliance Officercontrol
      since 07/2004 · owns 75% or more
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    • , 1 employees
    What changed
    consecutive filings, newest first
    • HQ city · FORT MYERS to unset
      Mar 31, 2022 to May 3, 2022
    • HQ state · FL to unset
      Mar 31, 2022 to May 3, 2022
    • Accounts · 9 to 11
      Mar 29, 2021 to Mar 31, 2022
    • Employees · 6 to 5
      Mar 29, 2021 to Mar 31, 2022
    • Discretionary RAUM · $937M to $705M
      Mar 29, 2021 to Mar 31, 2022
    • Pension RAUM · $117M to $81.9M
      Mar 29, 2021 to Mar 31, 2022
    • RAUM · $937M to $705M
      Mar 29, 2021 to Mar 31, 2022
    • Accounts · 8 to 9
      May 30, 2020 to Mar 29, 2021
    • Charity clients · 1 to 2
      May 30, 2020 to Mar 29, 2021
    • Pension plan clients · 3 to 2
      May 30, 2020 to Mar 29, 2021
    • Discretionary RAUM · $999M to $937M
      May 30, 2020 to Mar 29, 2021
    • Pension RAUM · $165M to $117M
      May 30, 2020 to Mar 29, 2021
    • RAUM · $999M to $937M
      May 30, 2020 to Mar 29, 2021
    • Accounts · 16 to 8
      Mar 18, 2019 to Feb 26, 2020
    • Advisory employees · 6 to 5
      Mar 18, 2019 to Feb 26, 2020
    • Charity clients · 2 to 1
      Mar 18, 2019 to Feb 26, 2020
    • State-registered IARs · 4 to 3
      Mar 18, 2019 to Feb 26, 2020
    • Discretionary RAUM · $956M to $999M
      Mar 18, 2019 to Feb 26, 2020
    • Pension RAUM · $142M to $165M
      Mar 18, 2019 to Feb 26, 2020
    • RAUM · $956M to $999M
      Mar 18, 2019 to Feb 26, 2020
    • Accounts · 11 to 16
      Nov 26, 2018 to Mar 18, 2019
    • State-registered IARs · 3 to 4
      Nov 26, 2018 to Mar 18, 2019
    • Discretionary RAUM · $1.2B to $956M
      Nov 26, 2018 to Mar 18, 2019
    • Pension RAUM · $143M to $142M
      Nov 26, 2018 to Mar 18, 2019
    • RAUM · $1.2B to $956M
      Nov 26, 2018 to Mar 18, 2019
    • Advisory employees · 5 to 6
      Mar 27, 2018 to Nov 14, 2018
    • Advisory activities · 1 to 2
      Mar 27, 2018 to Nov 14, 2018
    • Employees · 5 to 6
      Mar 27, 2018 to Nov 14, 2018
    • Financial planning clients · 1-10 to unset
      Mar 27, 2018 to Nov 14, 2018
    • Accounts · 16 to 11
      Mar 30, 2017 to Mar 27, 2018
    • Advisory activities · 2 to 1
      Mar 30, 2017 to Mar 27, 2018
    • Charity clients · unset to 2.0
      Mar 30, 2017 to Mar 27, 2018
    • Corporate clients · unset to 0.0
      Mar 30, 2017 to Mar 27, 2018
    • HNW clients · unset to 0.0
      Mar 30, 2017 to Mar 27, 2018
    • Individual clients · unset to 0.0
      Mar 30, 2017 to Mar 27, 2018
    • Pension plan clients · unset to 3.0
      Mar 30, 2017 to Mar 27, 2018
    • Pooled vehicle clients · unset to 0.0
      Mar 30, 2017 to Mar 27, 2018
    • Employees · 6 to 5
      Mar 30, 2017 to Mar 27, 2018
    • Financial planning clients · unset to 1-10
      Mar 30, 2017 to Mar 27, 2018
    • Other offices · unset to 1.0
      Mar 30, 2017 to Mar 27, 2018
    Signals
    2 dated events
    • J•••• K•••• left J•••••• A•••• M••••••••• for H••• W••••• A••••••• (registered 2022-07-18)
      Oct 24, 2022 · Advisor changed firm · fact
    • Jane Laurel Glass (Chief Compliance Officer) no longer on Schedule A of J•••••• A•••• M••••••••• (listed 2022-05-03, absent 2022-07-15)
      Jul 15, 2022 · 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