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••• W•••••• I••••••••• M••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 137542SEC 801-65465IAPD
Latest filing Mar 19, 2013
First filing on the tape Nov 23, 2011 · 6 filings
RAUM
$313M
reported, Item 5.F
Discretionary
42%
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
15
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
3
$244M gross assets
History
6 filings and snapshots on the tape
RAUM$313M as of Mar 19, 2013
Nov 23, 2011$1.0B then
HNW client RAUM: no history
State-registered IARs (5.B.3): 0
Employees (5.A): 15
Private funds3 as of Mar 19, 2013
Mar 29, 20123 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 19, 2013; 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
$34.8MderivedRAUM over accounts (5.F.2.f)
Discretionary
42%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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
$49.9M, 1 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
9reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$49.9M for 1 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
      Every departureEvery arrival
      Private funds
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      B•• A•••• O••••••••• F••• L•••Hedge Fund$182M212Mar 29, 2012
      J••• W•••••• P•• A••• M••••• F•••Hedge Fund$53.0M78Mar 29, 2012
      J••• W•••••• P•• A••• C••••Hedge Fund$8.5M79Mar 29, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • O•••••••• J•••• M•••••• B•••• · Director (Relying Adviser 1); Manager (Relying Advisers 2 And 3)control
        since 01/2009 · owns 25% to 50%
      • C••••••••• P••••• M••• · Non-Managing Membercontrol
        since 08/2006 · owns 50% to 75% of J•••• M••••••••• H•••••••• L••
      • S••••• M••••••• R••••• · Managing Membercontrol
        since 08/2006 · owns 50% to 75% of J•••• M••••••••• H•••••••• L••
      • N•• W•••••• · Non-Managing Member
        since 01/2009 · owns 10% to 25%
      Entity owners
      • J••• W•••••• I••••••••• M••••••••• L•• · Sole Shareholder (Of The Relying Adviser 1) And Managing Member (Of The Relying Advisers 2 And 3)
        direct · owns 75% or more
      • J•••• M••••••••• H•••••••• L•• · Non-Managing Member
        direct · owns 25% to 50%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • Singapore, Singapore
      What changed
      consecutive filings, newest first
      • Advisory employees · unset to 5.0
        May 18, 2012 to Mar 19, 2013
      • Employees · unset to 15.0
        May 18, 2012 to Mar 19, 2013
      • State-registered IARs · unset to 0.0
        May 18, 2012 to Mar 19, 2013
      • Accounts · 31 to 9
        Dec 22, 2011 to Mar 29, 2012
      • Advisory activities · 2 to 1
        Dec 22, 2011 to Mar 29, 2012
      • Assets in custody · unset to 49902956.0
        Dec 22, 2011 to Mar 29, 2012
      • Custody of client assets · false to true
        Dec 22, 2011 to Mar 29, 2012
      • Insurance-licensed employees · unset to 0.0
        Dec 22, 2011 to Mar 29, 2012
      • Private funds · unset to 3
        Dec 22, 2011 to Mar 29, 2012
      • Discretionary RAUM · $745M to $131M
        Dec 22, 2011 to Mar 29, 2012
      • Non-discretionary RAUM · $283M to $182M
        Dec 22, 2011 to Mar 29, 2012
      • RAUM · $1.0B to $313M
        Dec 22, 2011 to Mar 29, 2012
      • Related adviser · true to false
        Dec 22, 2011 to Mar 29, 2012
      Signals
      No event on the tape.
      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