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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SEC-registered adviser
J••• M••••• W••••• M••••••••• I•••
Legal name J••• M••••• I••••••••• A•••••••• I•••
Latest filing Mar 27, 2026
First filing on the tape Mar 30, 2012 · 21 filings
SEC status approved since Jun 19, 2007
RAUM
$821M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$821M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$274M
derived; firm RAUM over IAPD count
Employees
8
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$821M as of Mar 27, 2026
Mar 30, 2012$312M then
HNW client RAUM$814M as of Mar 27, 2026
Mar 29, 2018$394M then
State-registered IARs (5.B.3)1 as of Mar 27, 2026
Mar 28, 20131 then
Employees (5.A)8 as of Mar 27, 2026
Mar 28, 20137 then
Private funds1 as of Mar 30, 2015
Mar 31, 20141 then
RAUM +21% over the last fiscal year+19% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $274MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 23derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $17.3MderivedHNW RAUM over HNW clients
- Average account
- $6.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.7derivedItem 5.A over advisors
- Advisors per office
- 1.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.2%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, publicationsreportedItem 5.G
- Custody
- $821M, 135 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$814M99%
- Individuals$6.4M0.8%
- Individual clients
- 22reported
- HNW clients
- 47reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 135reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $821M for 135 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J••••• F•••••• P••••• | Boston, Ma | May 14, 2010 | 39 y | 0 |
| J••••• F• P••••• | Boston, Ma | Dec 15, 2020 | 13 y | 0 |
| R••••• T•••• S••••••••• | Boston, Ma | Mar 23, 2022 | 32 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| T•• C•••••• F••• I• L•••no longer reported | Hedge Fund | $8.2M | 10 | Aug 14, 2013 |
Owners and control persons
Schedule A and B, latest filing
- M••••••••• D••••• J••• · Chief Compliance Officercontrolsince 01/2008 · owns less than 5%
- P•••••• J•••• H•••• · Secretarycontrolsince 12/2013 · owns less than 5%
- P•••••• J•••••• F• · Presidentcontrolsince 12/2019 · owns less than 5%
- P•••••• J•••••• F•••••• · Chief Executive Officercontrolsince 12/2019 · owns 75% or more
- S••••••••• R•••••• T•••• · Executive Vice Presidentcontrolsince 12/2019 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Boston, Ma · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Palm Beach, FL1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- unusually large average HNW clientStatic outlier · filing Mar 27, 2026HNW RAUM per HNW client of $17,325,755 against a peer median of $3,134,900 (1404 comparable advisers, 99.0th percentile, 9.3 robust deviations)peers: independent wealth managers, $500M to $1B (1,404) · 99% percentile
What changed
consecutive filings, newest first
- Accounts · 117 to 135Mar 28, 2025 to Mar 27, 2026
- HNW clients · 44 to 47Mar 28, 2025 to Mar 27, 2026
- Individual clients · 21 to 22Mar 28, 2025 to Mar 27, 2026
- Assets in custody · $680M to $821MMar 28, 2025 to Mar 27, 2026
- Discretionary RAUM · $680M to $821MMar 28, 2025 to Mar 27, 2026
- HNW RAUM · $674M to $814MMar 28, 2025 to Mar 27, 2026
- Individual RAUM · $6.1M to $6.4MMar 28, 2025 to Mar 27, 2026
- RAUM · $680M to $821MMar 28, 2025 to Mar 27, 2026
- Accounts · 116 to 117Mar 8, 2024 to Mar 28, 2025
- HNW clients · 53 to 44Mar 8, 2024 to Mar 28, 2025
- Individual clients · 10 to 21Mar 8, 2024 to Mar 28, 2025
- Assets in custody · $484M to $680MMar 8, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 8, 2024 to Mar 28, 2025
- Discretionary RAUM · $564M to $680MMar 8, 2024 to Mar 28, 2025
- HNW RAUM · $561M to $674MMar 8, 2024 to Mar 28, 2025
- Individual RAUM · $2.7M to $6.1MMar 8, 2024 to Mar 28, 2025
- RAUM · $564M to $680MMar 8, 2024 to Mar 28, 2025
- Accounts · 63 to 116Mar 31, 2023 to Mar 8, 2024
- Employees · 7 to 8Mar 31, 2023 to Mar 8, 2024
- Discretionary RAUM · $484M to $564MMar 31, 2023 to Mar 8, 2024
- HNW RAUM · $481M to $561MMar 31, 2023 to Mar 8, 2024
- Individual RAUM · $2.5M to $2.7MMar 31, 2023 to Mar 8, 2024
- RAUM · $484M to $564MMar 31, 2023 to Mar 8, 2024
- Accounts · 58 to 63Mar 28, 2022 to Mar 31, 2023
- HNW clients · 50 to 53Mar 28, 2022 to Mar 31, 2023
- Individual clients · 8 to 10Mar 28, 2022 to Mar 31, 2023
- Assets in custody · $580M to $484MMar 28, 2022 to Mar 31, 2023
- Other offices · 0 to 1Mar 28, 2022 to Mar 31, 2023
- Discretionary RAUM · $580M to $484MMar 28, 2022 to Mar 31, 2023
- HNW RAUM · $579M to $481MMar 28, 2022 to Mar 31, 2023
- Individual RAUM · $1.4M to $2.5MMar 28, 2022 to Mar 31, 2023
- RAUM · $580M to $484MMar 28, 2022 to Mar 31, 2023
- Accounts · 59 to 58Mar 29, 2021 to Mar 28, 2022
- HNW clients · 58 to 50Mar 29, 2021 to Mar 28, 2022
- Individual clients · unset to 8.0Mar 29, 2021 to Mar 28, 2022
- Assets in custody · $458M to $580MMar 29, 2021 to Mar 28, 2022
- Employees · 10 to 7Mar 29, 2021 to Mar 28, 2022
- Other offices · 1 to 0Mar 29, 2021 to Mar 28, 2022
- Discretionary RAUM · $458M to $580MMar 29, 2021 to Mar 28, 2022
- HNW RAUM · $457M to $579MMar 29, 2021 to Mar 28, 2022
Signals
4 dated events
- J••• M••••• W••••• M••••••••• I••• reported RAUM $580.3M, up 27% from $457.9M (2021-03-29 to 2022-03-28)Mar 28, 2022 · RAUM change · derived
- Manuel Joel Roberts (Chief Operating Officer) no longer on Schedule A of J••• M••••• W••••• M••••••••• I••• (listed 2021-03-29, absent 2022-03-28)Mar 28, 2022 · Control person left · inference
- F Joseph Patton (President) appeared on Schedule A of J••• M••••• W••••• M••••••••• I•••Mar 30, 2020 · Control person joined · fact
- Trent Robert Stephenson (Executive Vice President) appeared on Schedule A of J••• M••••• W••••• M••••••••• I•••Mar 30, 2020 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 617-342-5600reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 617-342-5601reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/1805293reportedpublic record, Form ADV, Sep 19, 2026
- Website
- JPM•••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 617-342-5600reportedpublic record, Form ADV, Mar 27, 2026
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $274Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026