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•••••• W••••• M••••••••• L••
Latest filing Mar 6, 2026
First filing on the tape Mar 14, 2012 · 38 filings
SEC status approved since Aug 25, 2008
RAUM
$1.1B
reported, Item 5.F
Discretionary
94%
of RAUM
Private clients
100%
$1.1B individuals and HNW
Advisors
9
registered through the firm on IAPD
RAUM per advisor
$119M
derived; firm RAUM over IAPD count
Employees
10
9 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
38 filings and snapshots on the tape
RAUM$1.1B as of Mar 6, 2026
Mar 14, 2012$265M then
HNW client RAUM$869M as of Mar 6, 2026
Mar 30, 2018$277M then
State-registered IARs (5.B.3)9 as of Mar 6, 2026
Feb 12, 20134 then
Employees (5.A)10 as of Mar 6, 2026
Feb 12, 201310 then
Private funds: no history
RAUM +25% over the last fiscal year+16% a year over threeIARs 6 to 9
Practice profile
derived from the filing of Mar 6, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- RAUM per advisor
- $119MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 100derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.1MderivedHNW RAUM over HNW clients
- Average account
- $364,927derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 94%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.1derivedItem 5.A over advisors
- Advisors per office
- 4.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +25%derivedbetween the last two annual amendments
- Advisor growth, one year
- +50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +12%derived
- Compensation
- percentage of assets, hourlyreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $63.3M, 576 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)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$869M81%
- Individuals$200M19%
- Individual clients
- 622reported
- HNW clients
- 278reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 2,931reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $63.3M for 576 clientsreported
- Compensation
- % of AUM, hourlyreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
8 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| G••••• P••• J••••••Certified Financial Planner, Chartered Financial Consultant | Omaha, Ne | Aug 26, 2008 | 42 y | 2 |
| M•••••• P••• M•••••• | Lake Mary, Fl | Sep 27, 2013 | 29 y | 3 |
| M•••••• P••• J•••••• | Lake Mary, Fl | Nov 21, 2014 | 12 y | 0 |
| Y•••• D••••Certified Financial Planner, Chartered Financial Analyst | Omaha, Ne | Feb 3, 2022 | 10 y | 1 |
| A••••• H•••••••• | Lake Mary, Fl | Apr 13, 2022 | 10 y | 0 |
| N•••••• K•••••• S•••••• | Omaha, Ne | Sep 17, 2025 | 10 y | 0 |
| A•••••• K••••••••• | Lake Mary, Fl | Dec 8, 2025 | 11 y | 0 |
| C••••••• R••• J•••••• | Lake Mary, Fl | Dec 23, 2025 | 12 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
- M•••••• D•••• P•••• to W••••• E••••••••• A••••••• S•••••••• L••Jul 13, 2020 · RIA to affiliated broker-dealer or bank
- J••••• R•••• S•••••• to E•••••• C•••••• M••••••••• L••Jan 28, 2016 · Other
- M••••• E•••••• B•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••May 8, 2015 · Other
- W••• L•• R••••• to S••••• A••• A•••• M••••••••• I•••Feb 5, 2015 · Other
- J•••• J• T•••• to S••••• W••••• A•••••••• I•••Apr 25, 2013 · Other
- T••••• J•• C••••• to M••••• G••••• A••••••• I•••Feb 4, 2013 · Other
- L••••• M•••• W••••• to L•• F•••••••• L••Oct 11, 2012 · Other
- E••• A••••• P•••••••• to V•••• F•••••••• A•••••••• I•••Oct 11, 2012 · Other
- S•••• M•••••• D•••••• to S••••• W••••• A•••••••• I•••Oct 1, 2012 · Other
- N•••••• R••• M•••• to T••••• A••••••• S•••••••• I•••Jul 6, 2012 · Other
- T••••• H••• to F•• S••••••••• C•••••••••Jul 19, 2011 · Other
- J••••••• C•••• W•••••• to L•• F•••••••• L••Apr 1, 2011 · Other
Joined, latest
- Y•••• D•••• from B•••••••• F•••••••• W••••• A••••••• L••Feb 3, 2022 · RIA to RIA
- E••••• A••••••• M•••••••• from R•••••• J•••• F•••••••• S••••••• A•••••••• I••May 4, 2016 · Other
- J••••• R•••• S•••••• from T• A••••••••• I••••••••• M••••••••• L••Jun 2, 2015 · Other
- M•••••• P••• M•••••• from C•••••• S••••• • C••• I•••Sep 27, 2013 · Other
- J•••• J• T•••• from W•••• F•••• A•••••••Jan 25, 2013 · Other
- W••• L•• R••••• from M•••• • C••••• I••Dec 13, 2012 · Other
- T••••• J•• C••••• from A••••••• E•••••••• I•••Sep 17, 2012 · Other
- E••• A••••• P•••••••• from T• A••••••••• I•••Aug 1, 2012 · Other
- N•••••• R••• M•••• from R•••••• J•••• F•••••••• S•••••••• I•••Oct 7, 2008 · Other
- G••••• P••• J•••••• from R•••••• J•••• F•••••••• S•••••••• I•••Aug 26, 2008 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H••••••••• A•••••• M•••• · Chief Compliance Officer/Controllercontrolsince 10/2022 · owns less than 5%
- J••••••• G•••••• P••• · Managing Membercontrolsince 06/2008 · owns 75% or more
Related persons
Schedule D 7.A
- G••••• P• J•••••• P••• C••insurancen
- J•••••• I••••••••• M••••••••• L••investment advisern
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Lake Mary, Fl · principal | 9 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Orlando, FL1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- advisor count surgeChange between filings · filing Mar 6, 2026advisory representatives (Item 5.B.3) moved from 6.0 to 9.0 (+50.0%) between the annual amendments of 2025-03-25 and 2026-03-06; the peer median change was 0.0% (999 comparable advisers, 95.0th percentile of changes)peers: independent wealth managers, $1B to $5B (999) · 95% percentile
What changed
consecutive filings, newest first
- Accounts · 3,107 to 2,931Mar 25, 2025 to Mar 6, 2026
- Advisory employees · 6 to 9Mar 25, 2025 to Mar 6, 2026
- BD registered reps · 3 to 2Mar 25, 2025 to Mar 6, 2026
- HNW clients · 243 to 278Mar 25, 2025 to Mar 6, 2026
- Individual clients · 559 to 622Mar 25, 2025 to Mar 6, 2026
- Assets in custody · $857M to $63.3MMar 25, 2025 to Mar 6, 2026
- Employees · 11 to 10Mar 25, 2025 to Mar 6, 2026
- State-registered IARs · 6 to 9Mar 25, 2025 to Mar 6, 2026
- Discretionary RAUM · $798M to $1.0BMar 25, 2025 to Mar 6, 2026
- HNW RAUM · $693M to $869MMar 25, 2025 to Mar 6, 2026
- Individual RAUM · $164M to $200MMar 25, 2025 to Mar 6, 2026
- Non-discretionary RAUM · $58.7M to $68.0MMar 25, 2025 to Mar 6, 2026
- RAUM · $857M to $1.1BMar 25, 2025 to Mar 6, 2026
- Accounts · 2,800 to 3,107Nov 7, 2024 to Mar 25, 2025
- BD registered reps · 2 to 3Nov 7, 2024 to Mar 25, 2025
- HNW clients · 230 to 243Nov 7, 2024 to Mar 25, 2025
- Individual clients · 400 to 559Nov 7, 2024 to Mar 25, 2025
- Assets in custody · $821M to $857MNov 7, 2024 to Mar 25, 2025
- Insurance-licensed employees · 2 to 1Nov 7, 2024 to Mar 25, 2025
- Financial planning clients · 0 to 0Nov 7, 2024 to Mar 25, 2025
- Discretionary RAUM · $764M to $798MNov 7, 2024 to Mar 25, 2025
- HNW RAUM · $638M to $693MNov 7, 2024 to Mar 25, 2025
- Individual RAUM · $183M to $164MNov 7, 2024 to Mar 25, 2025
- Non-discretionary RAUM · $57.2M to $58.7MNov 7, 2024 to Mar 25, 2025
- RAUM · $821M to $857MNov 7, 2024 to Mar 25, 2025
- Advisory employees · 5 to 6Mar 26, 2024 to Nov 7, 2024
- BD registered reps · 3 to 2Mar 26, 2024 to Nov 7, 2024
- Assets in custody · unset to 820900000.0Mar 26, 2024 to Nov 7, 2024
- Custody of client assets · false to trueMar 26, 2024 to Nov 7, 2024
- Insurance-licensed employees · 1 to 2Mar 26, 2024 to Nov 7, 2024
- State-registered IARs · 5 to 6Mar 26, 2024 to Nov 7, 2024
- Other offices · 0 to 1Mar 26, 2024 to Nov 7, 2024
- Advisory employees · 6 to 5Mar 30, 2023 to Mar 26, 2024
- HNW clients · 200 to 230Mar 30, 2023 to Mar 26, 2024
- Individual clients · 450 to 400Mar 30, 2023 to Mar 26, 2024
- Employees · 9 to 11Mar 30, 2023 to Mar 26, 2024
- Insurance-licensed employees · 2 to 1Mar 30, 2023 to Mar 26, 2024
- State-registered IARs · 6 to 5Mar 30, 2023 to Mar 26, 2024
- Discretionary RAUM · $642M to $764MMar 30, 2023 to Mar 26, 2024
- HNW RAUM · $538M to $638MMar 30, 2023 to Mar 26, 2024
Signals
5 dated events
- M•••• A••••• O•••••••• (Chief Compliance Officer/Controller) appeared on Schedule A of J•••••• W••••• M••••••••• L••Jan 3, 2023 · Control person joined · fact
- R••• Jacqueline Bradshaw (Chief Compliance Officer/Controller) no longer on Schedule A of J•••••• W••••• M••••••••• L•• (listed 2022-03-31, absent 2023-01-03)Jan 3, 2023 · Control person left · inference
- J•••••• W••••• M••••••••• L•• reported RAUM $759.0M, up 39% from $546.8M (2020-06-05 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- Brinkley Page Flanner (Vp, Coo & Cco) no longer on Schedule A of J•••••• W••••• M••••••••• L•• (listed 2019-03-12, absent 2019-12-19)Dec 19, 2019 · Control person left · inference
- R••• Jacqueline Bradshaw (Chief Compliance Officer/Controller) appeared on Schedule A of J•••••• W••••• M••••••••• L••Dec 19, 2019 · 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
- 407-585-0235reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 999-999-9999reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- H••••://WWW.LINKEDIN.COM/COMPANY/J••••••-WEALTH-MANAGEMENT-Lreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 407-585-0235reportedpublic record, Form ADV, Mar 6, 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
- $119Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026