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•••• R•••• C•••••• C••••
Latest filing Mar 17, 2023
First filing on the tape Feb 7, 2012 · 33 filings
RAUM
$473M
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
4
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$473M gross assets
History
33 filings and snapshots on the tape
RAUM$473M as of Mar 17, 2023
Feb 23, 2012$635M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 17, 2023
Feb 23, 20120 then
Employees (5.A)4 as of Mar 17, 2023
Mar 25, 20135 then
Private funds2 as of Mar 17, 2023
Feb 23, 20126 then
RAUM -22% over the last fiscal year-0.3% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 17, 2023; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM 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
- $158MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -22%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $473M, 3 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$473M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $473M for 3 clientsreported
- Compensation
- % of AUM, performancereported
- 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
none on the tape
Joined, latest
none on the tape
Private funds
13 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| J•••• R•••• M•••• S••••••• F••• L••• | Hedge Fund | $321M | 1 | Feb 7, 2012 |
| T•••• M•••• S••••••• L•• | Other Private Fund | $180M | 13 | Feb 7, 2012 |
| T•••• M•••• S••••••• I• L•• | Other Private Fund | $152M | 12 | Sep 27, 2017 |
| J•••• R•••• M•••• S••••••• F••• L•••no longer reported | Other Private Fund | $80.7M | 29 | Feb 7, 2012 |
| J•••• R•••• F•••••••• F••• I• L•• | Other Private Fund | $24.9M | 3 | Jan 29, 2016 |
| J•••• R•••• V•••• F••• L••no longer reported | Other Private Fund | $24.6M | 3 | Aug 10, 2016 |
| J•••• R•••• F•••••••• F••• L•• S••••• 1• | Other Private Fund | $16.6M | 28 | Jan 29, 2016 |
| J•••• R•••• V•••• F••• L••no longer reported | Other Private Fund | $10.8M | 2 | Sep 27, 2017 |
| J•••• R•••• V•••• P••••••• H•• F••• L••no longer reported | Other Private Fund | $8.0M | 3 | Sep 27, 2017 |
| J•••• R•••• V•••• P••••••• F••• L••no longer reported | Other Private Fund | $7.4M | 13 | Sep 27, 2017 |
| J•••• R•••• N•••••••• H•• F••• L••no longer reported | Other Private Fund | $732,586 | 13 | Feb 7, 2012 |
| J•••• R•••• N•••••••• F•••••• F••• L••no longer reported | Other Private Fund | $725,774 | 6 | Feb 7, 2012 |
| J•••• R•••• N•••••••• F••• L••no longer reported | Other Private Fund | $396,374 | 2 | Feb 7, 2012 |
Owners and control persons
Schedule A and B, latest filing
- D••••••• J••••• P••• · Chief Compliance Officercontrolsince 03/2022 · owns less than 5%
- S•••••••• P•••• H•••••••• · Chief Executive Officer And Chairmancontrolsince 01/1995 · 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.
What changed
consecutive filings, newest first
- Accounts · 6 to 3Sep 8, 2022 to Mar 17, 2023
- Advisory employees · 3 to 1Sep 8, 2022 to Mar 17, 2023
- Advisory activities · 2 to 1Sep 8, 2022 to Mar 17, 2023
- Pooled vehicle clients · 6 to 3Sep 8, 2022 to Mar 17, 2023
- Assets in custody · $605M to $473MSep 8, 2022 to Mar 17, 2023
- Employees · 8 to 4Sep 8, 2022 to Mar 17, 2023
- Private funds · 6 to 2Sep 8, 2022 to Mar 17, 2023
- Discretionary RAUM · $605M to $473MSep 8, 2022 to Mar 17, 2023
- Pooled vehicle RAUM · $605M to $473MSep 8, 2022 to Mar 17, 2023
- RAUM · $605M to $473MSep 8, 2022 to Mar 17, 2023
- Advisory employees · 4 to 3Mar 31, 2021 to Mar 30, 2022
- BD registered reps · 3 to 0Mar 31, 2021 to Mar 30, 2022
- Assets in custody · $582M to $605MMar 31, 2021 to Mar 30, 2022
- Employees · 6 to 8Mar 31, 2021 to Mar 30, 2022
- State-registered IARs · 3 to 0Mar 31, 2021 to Mar 30, 2022
- Discretionary RAUM · $582M to $605MMar 31, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $582M to $605MMar 31, 2021 to Mar 30, 2022
- RAUM · $582M to $605MMar 31, 2021 to Mar 30, 2022
- Related broker-dealer · true to falseMar 31, 2021 to Mar 30, 2022
- Assets in custody · $477M to $582MAug 14, 2020 to Mar 31, 2021
- Discretionary RAUM · $525M to $582MAug 14, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $525M to $582MAug 14, 2020 to Mar 31, 2021
- RAUM · $525M to $582MAug 14, 2020 to Mar 31, 2021
- Discretionary RAUM · $477M to $525MMar 30, 2020 to Aug 14, 2020
- Pooled vehicle RAUM · $477M to $525MMar 30, 2020 to Aug 14, 2020
- RAUM · $477M to $525MMar 30, 2020 to Aug 14, 2020
- Assets in custody · $508M to $477MMar 29, 2019 to Mar 30, 2020
- Other offices · 1 to 0Mar 29, 2019 to Mar 30, 2020
- Discretionary RAUM · $508M to $477MMar 29, 2019 to Mar 30, 2020
- Pooled vehicle RAUM · $508M to $477MMar 29, 2019 to Mar 30, 2020
- RAUM · $508M to $477MMar 29, 2019 to Mar 30, 2020
- Assets in custody · $634M to $508MAug 29, 2018 to Mar 29, 2019
- Discretionary RAUM · $634M to $508MAug 29, 2018 to Mar 29, 2019
- Pooled vehicle RAUM · $634M to $508MAug 29, 2018 to Mar 29, 2019
- RAUM · $634M to $508MAug 29, 2018 to Mar 29, 2019
- Pooled vehicle clients · 11 to 6Jun 26, 2018 to Aug 29, 2018
- Pooled vehicle RAUM · $654M to $634MJun 26, 2018 to Aug 29, 2018
- Accounts · 11 to 6Mar 29, 2018 to Jun 14, 2018
- Assets in custody · $654M to $634MMar 29, 2018 to Jun 14, 2018
- Private funds · 11 to 6Mar 29, 2018 to Jun 14, 2018
Signals
5 dated events
- Michael Kevin Brandt (President And Director) no longer on Schedule A of J•••• R•••• C•••••• C•••• (listed 2021-03-31, absent 2022-03-30)Mar 30, 2022 · Control person left · inference
- Piper Laura Mcgrath (Chief Operating Officer And General Counsel) no longer on Schedule A of J•••• R•••• C•••••• C•••• (listed 2021-03-31, absent 2022-03-30)Mar 30, 2022 · Control person left · inference
- A Molly Harrison (Chief Compliance Officer) no longer on Schedule A of J•••• R•••• C•••••• C•••• (listed 2021-03-31, absent 2022-03-30)Mar 30, 2022 · Control person left · inference
- Paul Jason Dehaven (Chief Compliance Officer) appeared on Schedule A of J•••• R•••• C•••••• C••••Mar 30, 2022 · Control person joined · fact
- H M••• A••••• (Chief Compliance Officer) appeared on Schedule A of J•••• R•••• C•••••• C••••Mar 29, 2019 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
- J•••• R•••• C•••••• C•••• · Private Equityshared crd · organization
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