DFX Intelligence

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Former SEC-registered adviser

J•• C•••••• I••••••••• L•

Former SEC-registered adviserNew York, New YorkCRD 138656SEC 801-65543IAPD

Latest filing Nov 9, 2023

First filing on the tape Mar 27, 2012 · 20 filings

RAUM

$452M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

4 advisory (5.B.1)

Offices

beyond the principal office

Private funds

$11.3M gross assets

History

20 filings and snapshots on the tape

RAUM$452M as of Mar 30, 2023

Mar 27, 2012$799M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 30, 2023

Mar 27, 20120 then

Employees (5.A)8 as of Mar 30, 2023

Mar 27, 201310 then

Private funds2 as of Mar 30, 2023

Mar 27, 20121 then

RAUM +15% over the last fiscal year+0.6% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Nov 9, 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: $41.1MderivedRAUM 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: +15%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: $240M, 8 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)
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)
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$452M100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 11reported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: $240M for 8 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 departure Every arrival

Private funds

2 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
J•• C•••••• S•• M••••• F•••• L•no longer reported	Hedge Fund	$109M	1	Mar 30, 2015
J•• C•••••• S••••• O••••••••• M••••• F•••• L•	Hedge Fund	$11.3M	3	Mar 27, 2013

Owners and control persons

Schedule A and B, latest filing

C•••••• A•••• S• · Managing Member Of J•• C•••••• I••••••••• L•control
since 01/2003 · owns 25% to 50%
M•••• M••••••• C•••• · Managing Member Of J•• C•••••• M••••••••• L••control
since 07/2002 · owns 25% to 50%
O••••••• G••••••• E• · Chief Financial Officer And Chief Compliance Officercontrol
since 02/2004 · owns less than 5%
C•••••• A•••• S• · Managing Membercontrol
since 01/2003 · owns 50% to 75% of J•• C•••••• G•• L••
M•••• M••••••• C•••• · Managing Membercontrol
since 01/2003 · owns 50% to 75% of J•• C•••••• G•• L••
F••••• J•••• · Limited Partner Of J•• C•••••• I••••••••• L•
since 01/2011 · owns 10% to 25%

Entity owners

J•• C•••••• G•• L•• · General Partner Of J•• C•••••• I••••••••• L•
direct · owns less than 5%

Related persons

Schedule D 7.A

J•• C•••••• M••••••••• L••
bankpooled vehicle sponsory

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Private funds · 2 to 1
Mar 30, 2023 to Nov 9, 2023
Assets in custody · $261M to $240M
Mar 29, 2022 to Mar 30, 2023
Discretionary RAUM · $392M to $452M
Mar 29, 2022 to Mar 30, 2023
Pooled vehicle RAUM · $392M to $452M
Mar 29, 2022 to Mar 30, 2023
RAUM · $392M to $452M
Mar 29, 2022 to Mar 30, 2023
Accounts · 12 to 11
Apr 28, 2021 to Mar 29, 2022
Pooled vehicle clients · 12 to 11
Apr 28, 2021 to Mar 29, 2022
Assets in custody · $245M to $261M
Apr 28, 2021 to Mar 29, 2022
Discretionary RAUM · $498M to $392M
Apr 28, 2021 to Mar 29, 2022
Pooled vehicle RAUM · $498M to $392M
Apr 28, 2021 to Mar 29, 2022
RAUM · $498M to $392M
Apr 28, 2021 to Mar 29, 2022
Assets in custody · $281M to $245M
Mar 30, 2020 to Mar 29, 2021
Discretionary RAUM · $444M to $498M
Mar 30, 2020 to Mar 29, 2021
Pooled vehicle RAUM · $444M to $498M
Mar 30, 2020 to Mar 29, 2021
RAUM · $444M to $498M
Mar 30, 2020 to Mar 29, 2021
Advisory employees · 5 to 4
Mar 28, 2019 to Mar 30, 2020
Assets in custody · $890M to $281M
Mar 28, 2019 to Mar 30, 2020
Employees · 10 to 8
Mar 28, 2019 to Mar 30, 2020
Discretionary RAUM · $1.1B to $444M
Mar 28, 2019 to Mar 30, 2020
Pooled vehicle RAUM · $1.1B to $444M
Mar 28, 2019 to Mar 30, 2020
RAUM · $1.1B to $444M
Mar 28, 2019 to Mar 30, 2020
Accounts · 11 to 12
Mar 28, 2018 to Mar 28, 2019
Pooled vehicle clients · 11 to 12
Mar 28, 2018 to Mar 28, 2019
Assets in custody · $1.5B to $890M
Mar 28, 2018 to Mar 28, 2019
Discretionary RAUM · $1.7B to $1.1B
Mar 28, 2018 to Mar 28, 2019
Pooled vehicle RAUM · $1.7B to $1.1B
Mar 28, 2018 to Mar 28, 2019
RAUM · $1.7B to $1.1B
Mar 28, 2018 to Mar 28, 2019
Accounts · 12 to 11
Sep 11, 2017 to Mar 28, 2018
Pooled vehicle clients · unset to 11.0
Sep 11, 2017 to Mar 28, 2018
Assets in custody · $1.5B to $1.5B
Sep 11, 2017 to Mar 28, 2018
Other offices · unset to 0.0
Sep 11, 2017 to Mar 28, 2018
Private funds · 3 to 2
Sep 11, 2017 to Mar 28, 2018
Discretionary RAUM · $1.7B to $1.7B
Sep 11, 2017 to Mar 28, 2018
Pooled vehicle RAUM · unset to 1654350541.0
Sep 11, 2017 to Mar 28, 2018
RAUM · $1.7B to $1.7B
Sep 11, 2017 to Mar 28, 2018
Related adviser · true to false
Sep 11, 2017 to Mar 28, 2018
Assets in custody · $1.9B to $1.5B
Mar 30, 2016 to Mar 29, 2017
Employees · 11 to 10
Mar 30, 2016 to Mar 29, 2017
Discretionary RAUM · $2.1B to $1.7B
Mar 30, 2016 to Mar 29, 2017
RAUM · $2.1B to $1.7B
Mar 30, 2016 to Mar 29, 2017

Signals

2 dated events

••• Locked
Mar 30, 2020 · RAUM change · derived
••• Locked
Mar 28, 2019 · RAUM change · derived

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