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•••• F••••••••

Former SEC-registered adviserLexington, KentuckyCRD 133783SEC 801-112854IAPD
Legal name T•••• C••••••• L••
Latest filing Mar 18, 2022
First filing on the tape Mar 5, 2012 · 16 filings
RAUM
$277M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
99%
$273M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$277M as of Mar 18, 2022
Mar 5, 2012$54.6M then
HNW client RAUM$176M as of Mar 18, 2022
Mar 22, 2019$62.3M then
State-registered IARs (5.B.3)4 as of Mar 18, 2022
Mar 5, 20120 then
Employees (5.A)6 as of Mar 18, 2022
Mar 26, 20133 then
Private funds: 1
RAUM +31% over the last fiscal year+24% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 18, 2022; every figure names its basis
RAUM per advisor
$69.2MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
144derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$1.8MderivedHNW RAUM over HNW clients
Average account
$182,236derivedRAUM over accounts (5.F.2.f)
Discretionary
97%derivedof RAUM
Institutional
1.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+31%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+8.7%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, pension consultingreportedItem 5.G
Custody
$63.3M, 244 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$176M64%
  • Individuals$97.1M35%
  • Insurance companies$2.2M0.8%
  • Pension and profit-sharing plans$1.4M0.5%
Individual clients
477reported
HNW clients
99reported
Pension plan clients
n/areported
Charitable clients
0reported
Accounts
1,519reported
Financial planning clients
26-50reported
Wrap fee programs
noreported
Custody of client assets
$63.3M for 244 clientsreported
Compensation
% of AUM, fixedreported
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
      Every departureEvery arrival
      Private funds
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      F•••••••• O••••••••• F••• L••no longer reportedHedge Fund$680,0003Mar 26, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • C•••••• D•••••• J••••• · Managing Director, Chief Operations Officercontrol
        since 12/2010 · owns 10% to 25%
      • T••••• W••••••• L•••• · Managing Director, Chief Investment Officer, Ownercontrol
        since 04/2007 · owns 75% or more
      • D••••••••• D•••••• M•••• · Chief Compliance Officer
        since 10/2021 · owns less than 5%
      Related persons
      Schedule D 7.A
      • M••• T••••• H••••••
        real estaten
      Advisers that list J•••• F•••••••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 1,243 to 1,519
        Nov 3, 2021 to Mar 18, 2022
      • HNW clients · 70 to 99
        Nov 3, 2021 to Mar 18, 2022
      • Individual clients · 460 to 477
        Nov 3, 2021 to Mar 18, 2022
      • Assets in custody · $50.9M to $63.3M
        Nov 3, 2021 to Mar 18, 2022
      • Discretionary RAUM · $208M to $268M
        Nov 3, 2021 to Mar 18, 2022
      • HNW RAUM · $124M to $176M
        Nov 3, 2021 to Mar 18, 2022
      • Individual RAUM · $82.0M to $97.1M
        Nov 3, 2021 to Mar 18, 2022
      • Non-discretionary RAUM · $3.7M to $8.5M
        Nov 3, 2021 to Mar 18, 2022
      • Pension RAUM · $3.8M to $1.4M
        Nov 3, 2021 to Mar 18, 2022
      • RAUM · $212M to $277M
        Nov 3, 2021 to Mar 18, 2022
      • Accounts · 1,111 to 1,243
        Jun 23, 2020 to Mar 23, 2021
      • Advisory employees · 3 to 4
        Jun 23, 2020 to Mar 23, 2021
      • HNW clients · 58 to 70
        Jun 23, 2020 to Mar 23, 2021
      • Individual clients · 421 to 460
        Jun 23, 2020 to Mar 23, 2021
      • Assets in custody · $25.5M to $50.9M
        Jun 23, 2020 to Mar 23, 2021
      • Employees · 5 to 6
        Jun 23, 2020 to Mar 23, 2021
      • State-registered IARs · 3 to 4
        Jun 23, 2020 to Mar 23, 2021
      • Other offices · 1 to 0
        Jun 23, 2020 to Mar 23, 2021
      • Discretionary RAUM · $188M to $208M
        Jun 23, 2020 to Mar 23, 2021
      • HNW RAUM · $116M to $124M
        Jun 23, 2020 to Mar 23, 2021
      • Individual RAUM · $69.3M to $82.0M
        Jun 23, 2020 to Mar 23, 2021
      • Non-discretionary RAUM · $2.6M to $3.7M
        Jun 23, 2020 to Mar 23, 2021
      • Pension RAUM · $2.7M to $3.8M
        Jun 23, 2020 to Mar 23, 2021
      • RAUM · $190M to $212M
        Jun 23, 2020 to Mar 23, 2021
      • Custody of client assets · false to true
        Apr 29, 2020 to Jun 23, 2020
      • Accounts · 1,027 to 1,111
        May 22, 2019 to Mar 19, 2020
      • HNW clients · 24 to 58
        May 22, 2019 to Mar 19, 2020
      • Individual clients · 423 to 421
        May 22, 2019 to Mar 19, 2020
      • Assets in custody · unset to 25474406.0
        May 22, 2019 to Mar 19, 2020
      • Discretionary RAUM · $142M to $188M
        May 22, 2019 to Mar 19, 2020
      • HNW RAUM · $62.3M to $116M
        May 22, 2019 to Mar 19, 2020
      • Individual RAUM · $78.1M to $69.3M
        May 22, 2019 to Mar 19, 2020
      • Non-discretionary RAUM · $2.2M to $2.6M
        May 22, 2019 to Mar 19, 2020
      • Pension RAUM · $2.2M to $2.7M
        May 22, 2019 to Mar 19, 2020
      • RAUM · $144M to $190M
        May 22, 2019 to Mar 19, 2020
      • Accounts · 1,023 to 1,027
        Feb 25, 2019 to Mar 22, 2019
      • HNW clients · 25 to 24
        Feb 25, 2019 to Mar 22, 2019
      • Individual clients · 396 to 423
        Feb 25, 2019 to Mar 22, 2019
      • Employees · 4 to 5
        Feb 25, 2019 to Mar 22, 2019
      • Discretionary RAUM · $137M to $142M
        Feb 25, 2019 to Mar 22, 2019
      Signals
      1 dated events
      • J•••• F•••••••• filed its initial SEC registration (Form ADV)
        Mar 16, 2018 · 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.
      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