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•• A•••••••• I•••

Former SEC-registered adviserLouisville, KentuckyCRD 143268SEC 801-67658IAPD
Latest filing May 11, 2016
First filing on the tape Jan 31, 2012 · 11 filings
RAUM
$95.9M
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
18
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$108M as of Feb 29, 2016
Jan 31, 2012$235M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 29, 2016
Jan 31, 20120 then
Employees (5.A)18 as of Feb 29, 2016
Feb 28, 20136 then
Private funds: no history
RAUM -29% over the last fiscal year-2.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 11, 2016; 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
$32.0MderivedRAUM 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
-20%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 assetsreportedItem 5.E
Advisory activities
portfolio management for investment companiesreportedItem 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
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
3reported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • C•••••• M•••••••• H••••• · Directorcontrol
    since 01/2010 · owns less than 5%
  • C•••• J••••••• L•••• · Chief Compliance Officercontrol
    since 10/2015 · owns less than 5%
  • G••••••••• L•••••••• P••• · Directorcontrol
    since 01/2007 · owns less than 5%
  • H•••••• C••••• A••• · General Counsel & Secretarycontrol
    since 01/2007 · owns less than 5%
  • V••• J•••••• F• · Chief Financial Officercontrol
    since 01/2007 · owns less than 5%
Entity owners
  • J•••••••• N••••••• F•••••••• C•••• · Shareholder
    direct · owns 75% or more
  • J•••••••• N••••••• F•••••••• C••• · Shareholder
    indirect · owns 75% or more of J•• A•••••••• I•••
  • J•• I•••••••• L•• · Shareholder
    indirect · owns 75% or more of J•••••••• N••••••• F•••••••• C•••
  • M•••• C••••• • A••••••••• · Member
    indirect · owns 75% or more of J•• I•••••••• L••
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 8 to 3
    May 10, 2016 to May 11, 2016
  • Advisory activities · 2 to 1
    Feb 29, 2016 to May 10, 2016
  • Discretionary RAUM · $108M to $95.9M
    Feb 29, 2016 to May 10, 2016
  • RAUM · $108M to $95.9M
    Feb 29, 2016 to May 10, 2016
  • Accounts · 4 to 8
    Apr 22, 2015 to Feb 29, 2016
  • Employees · 9 to 18
    Apr 22, 2015 to Feb 29, 2016
  • Financial planning clients · 51-100 to unset
    Apr 22, 2015 to Feb 29, 2016
  • Discretionary RAUM · $135M to $108M
    Apr 22, 2015 to Feb 29, 2016
  • RAUM · $135M to $108M
    Apr 22, 2015 to Feb 29, 2016
  • Accounts · 2 to 4
    Mar 26, 2014 to Mar 24, 2015
  • Discretionary RAUM · $125M to $135M
    Mar 26, 2014 to Mar 24, 2015
  • RAUM · $125M to $135M
    Mar 26, 2014 to Mar 24, 2015
  • BD registered reps · 3 to 6
    Oct 18, 2013 to Mar 26, 2014
  • Employees · 6 to 9
    Oct 18, 2013 to Mar 26, 2014
  • Financial planning clients · 26-50 to 51-100
    Oct 18, 2013 to Mar 26, 2014
  • Discretionary RAUM · $102M to $125M
    Oct 18, 2013 to Mar 26, 2014
  • RAUM · $102M to $125M
    Oct 18, 2013 to Mar 26, 2014
  • Advisory employees · 0 to 1
    Jun 12, 2012 to Feb 28, 2013
  • Advisory activities · 1 to 2
    Jun 12, 2012 to Feb 28, 2013
  • BD registered reps · unset to 3.0
    Jun 12, 2012 to Feb 28, 2013
  • Employees · unset to 6.0
    Jun 12, 2012 to Feb 28, 2013
  • Financial planning clients · 0 to 26-50
    Jun 12, 2012 to Feb 28, 2013
  • Discretionary RAUM · $98.4M to $102M
    Jun 12, 2012 to Feb 28, 2013
  • RAUM · $98.4M to $102M
    Jun 12, 2012 to Feb 28, 2013
  • Related adviser · true to false
    Jun 12, 2012 to Feb 28, 2013
  • Accounts · 3 to 2
    Jan 31, 2012 to Jun 12, 2012
  • Discretionary RAUM · $235M to $98.4M
    Jan 31, 2012 to Jun 12, 2012
  • RAUM · $235M to $98.4M
    Jan 31, 2012 to Jun 12, 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