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•••••••• L••

Former SEC-registered adviserChicago, IllinoisCRD 153690SEC 801-79140IAPD
Latest filing Feb 24, 2016
First filing on the tape Nov 29, 2011 · 24 filings
RAUM
$139M
reported, Item 5.F
Discretionary
53%
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
4
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$139M as of Feb 24, 2016
Mar 1, 2012$53.2M then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Feb 24, 2016
Mar 1, 20120 then
Employees (5.A)4 as of Feb 24, 2016
Mar 24, 20145 then
Private funds: no history
RAUM +3.2% over the last fiscal yearIARs 3 to 3
Practice profile
derived from the filing of Feb 24, 2016; every figure names its basis
RAUM per advisor
$46.2MderivedRAUM 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
$321,838derivedRAUM over accounts (5.F.2.f)
Discretionary
53%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.3derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+3.2%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, commissionsreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisersreportedItem 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
  • is an insurance broker or agent (6.A.6)
  • 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)
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
431reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, hourly, commissionsreported
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
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • M••••••• T••••••• D••••• · Managing Membercontrol
      since 05/2006 · owns 50% to 75%
    • S••••••••• H••••• · Managing Membercontrol
      since 05/2006 · owns 25% to 50%
    • S••••••••• G•••• J••••• · Chief Compliance Officer
      since 05/2011 · owns less than 5%
    Related persons
    Schedule D 7.A
    • F•••••••• S••••••••• L••
      investment advisern
    • M••• I•••
      real estaten
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Business name · F•••••••• S••••••••• L•• to J••• A•••••••• L••
      Nov 30, 2015 to Feb 24, 2016
    • Legal name · F•••••••• S••••••••• L•• to J••• A•••••••• L••
      Nov 30, 2015 to Feb 24, 2016
    • Discretionary RAUM · $71.8M to $72.9M
      Nov 30, 2015 to Feb 24, 2016
    • Non-discretionary RAUM · $62.6M to $65.8M
      Nov 30, 2015 to Feb 24, 2016
    • RAUM · $134M to $139M
      Nov 30, 2015 to Feb 24, 2016
    • Business name · J••• A•••••••• L•• to F•••••••• S••••••••• L••
      Oct 1, 2015 to Nov 30, 2015
    • Legal name · J••• A•••••••• L•• to F•••••••• S••••••••• L••
      Oct 1, 2015 to Nov 30, 2015
    • Accounts · 375 to 431
      Jan 6, 2015 to Mar 17, 2015
    • Advisory employees · 5 to 3
      Jan 6, 2015 to Mar 17, 2015
    • Employees · 5 to 4
      Jan 6, 2015 to Mar 17, 2015
    • State-registered IARs · 5 to 3
      Jan 6, 2015 to Mar 17, 2015
    • Discretionary RAUM · $65.6M to $71.8M
      Jan 6, 2015 to Mar 17, 2015
    • Non-discretionary RAUM · $55.5M to $62.6M
      Jan 6, 2015 to Mar 17, 2015
    • RAUM · $121M to $134M
      Jan 6, 2015 to Mar 17, 2015
    • Accounts · 400 to 375
      Jan 23, 2014 to Mar 24, 2014
    • Commission compensation · false to true
      Jan 23, 2014 to Mar 24, 2014
    • Insurance-licensed employees · 2 to 1
      Jan 23, 2014 to Mar 24, 2014
    • State-registered IARs · 2 to 5
      Jan 23, 2014 to Mar 24, 2014
    • Accounts · 347 to 400
      Jul 3, 2012 to Jan 23, 2014
    • Advisory employees · unset to 5.0
      Jul 3, 2012 to Jan 23, 2014
    • BD registered reps · unset to 2.0
      Jul 3, 2012 to Jan 23, 2014
    • Employees · unset to 5.0
      Jul 3, 2012 to Jan 23, 2014
    • Insurance-licensed employees · 0 to 2
      Jul 3, 2012 to Jan 23, 2014
    • State-registered IARs · 0 to 2
      Jul 3, 2012 to Jan 23, 2014
    • Discretionary RAUM · $35.3M to $65.6M
      Jul 3, 2012 to Jan 23, 2014
    • Non-discretionary RAUM · $18.0M to $55.5M
      Jul 3, 2012 to Jan 23, 2014
    • RAUM · $53.2M to $121M
      Jul 3, 2012 to Jan 23, 2014
    • Related adviser · false to true
      Jul 3, 2012 to Jan 23, 2014
    • Related broker-dealer · false to true
      Jul 3, 2012 to Jan 23, 2014
    • Accounts · 211 to 347
      Jan 31, 2012 to Mar 1, 2012
    • Discretionary RAUM · $22.4M to $35.3M
      Jan 31, 2012 to Mar 1, 2012
    • Non-discretionary RAUM · $17.7M to $18.0M
      Jan 31, 2012 to Mar 1, 2012
    • RAUM · $40.1M to $53.2M
      Jan 31, 2012 to Mar 1, 2012
    • Insurance-licensed employees · unset to 0.0
      Nov 29, 2011 to Jan 31, 2012
    Signals
    1 dated events
    • J••• A•••••••• L•• filed its initial SEC registration (Form ADV)
      Jan 23, 2014 · First SEC registration · fact
    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