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••••••••• L••
Latest filing Jul 28, 2026
First filing on the tape Feb 10, 2017 · 15 filings
SEC status approved since Apr 30, 2025
RAUM
$162M
reported, Item 5.F
Discretionary
41%
of RAUM
Private clients
94%
$152M individuals and HNW
Advisors
16
registered through the firm on IAPD
RAUM per advisor
$10.1M
derived; firm RAUM over IAPD count
Employees
15
15 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$162M as of Jul 28, 2026
Mar 30, 2017$33.2M then
HNW client RAUM$106M as of Jul 28, 2026
Mar 28, 2018$30.5M then
State-registered IARs (5.B.3)15 as of Jul 28, 2026
Mar 30, 201710 then
Employees (5.A)15 as of Jul 28, 2026
Mar 30, 201711 then
Private funds: no history
RAUM +27% over the last fiscal yearIARs 16 to 15
Practice profile
derived from the filing of Jul 28, 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
- $10.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 22derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.1MderivedHNW RAUM over HNW clients
- Average account
- $440,548derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 41%derivedof RAUM
- Institutional
- 5.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 0.9derivedItem 5.A over advisors
- Advisors per office
- 2.7derived6 offices incl. principal (1.F.5)
- RAUM growth, one year
- +27%derivedbetween the last two annual amendments
- Advisor growth, one year
- -13%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.4%derived
- Compensation
- percentage of assets, hourly, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, selection of other advisers, educational seminarsreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$106M65%
- Individuals$46.3M29%
- Charitable organizations$8.8M5.4%
- Corporations and businesses$877,7080.5%
- Individual clients
- 258reported
- HNW clients
- 94reported
- Pension plan clients
- n/areported
- Charitable clients
- 7reported
- Accounts
- 367reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourlyreported
- Class basis
- private_client_share=0.94 fund_share=0.0 institutional_share=0.05 related_bd=true related_bank=true bd_reps=15.0 bank_owner=falsederived
Advisors registered through the firm
16 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K•••• M•••••• J••• O•••••• | Florham Park, Nj | Apr 1, 2014 | 42 y | 2 |
| J•••••• R••• H•••••• | Florham Park, Nj | Jun 5, 2014 | 34 y | 2 |
| J••••• F•••••• | Florham Park, Nj | Feb 11, 2016 | 22 y | 0 |
| S•••••• E•••• C••••••• | Florham Park, Nj | Sep 13, 2016 | 30 y | 4 |
| A•••••• D•••••Certified Financial Planner | Florham Park, Nj | Oct 5, 2016 | 39 y | 2 |
| B•••• A••• M••••• | Florham Park, Nj | Aug 22, 2017 | 39 y | 2 |
| C•••••• E•••••• B••••• | Florham Park, Nj | Sep 13, 2018 | 45 y | 3 |
| J••• S•••• L••• | Florham Park, Nj | Jul 12, 2019 | 36 y | 3 |
| G••••• S••••• C••••• | Florham Park, Nj | Sep 5, 2019 | 41 y | 1 |
| L••• R•••••• H•••• | Florham Park, Nj | Sep 18, 2019 | 34 y | 2 |
| W•••••• C••••••• F••••• | Florham Park, Nj | Mar 8, 2021 | 31 y | 5 |
| B•••• J••••• V••••••• | Florham Park, Nj | Mar 8, 2022 | 15 y | 6 |
| R•••••• D•••• M••••• | Florham Park, Nj | Mar 15, 2022 | 36 y | 1 |
| L•••• L•• M•••• | Florham Park, Nj | Sep 20, 2022 | 42 y | 3 |
| G•••• C•••••••• | Florham Park, Nj | Sep 20, 2022 | 26 y | 0 |
| D•••••• R••••••• M•••••• | Mobile, Al | May 28, 2026 | 19 y | 2 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
- J••• G•••• Z•••••• to L•• F•••••••• L••Sep 6, 2021 · RIA to affiliated broker-dealer or bank
- D••••• C•••••• R••••• to I••••••• F•••••••• S••••••• A•••••••Sep 28, 2020 · RIA to RIA
- M•••••• T•••• S••••• to N••• F•••••• I••••••••• S•••••••• L••Sep 4, 2019 · RIA to affiliated broker-dealer or bank
- T••• N••••• to L••• O•• P•••••••Feb 18, 2016 · Other
- R•••••• C•••••• C•••••••• to R• S•••••• • C••• I•••Apr 10, 2012 · Other
Joined, latest
- D•••••• R••••••• M•••••• from P•••••••• S••••••••• I•••May 28, 2026 · Affiliated broker-dealer or bank to independent RIA
- L•••• L•• M•••• from C•••••••• F•••••••• G•••• A•••••••Sep 20, 2022 · Affiliated broker-dealer or bank to independent RIA
- R•••••• D•••• M••••• from R•• C•••••• M••••••• L••Mar 15, 2022 · Affiliated broker-dealer or bank to independent RIA
- B•••• J••••• V••••••• from R•••••• J•••• • A••••••••• I•••Mar 8, 2022 · Affiliated broker-dealer or bank to independent RIA
- W•••••• C••••••• F••••• from T••••• A••••••• S•••••••• I•••Mar 8, 2021 · Affiliated broker-dealer or bank to independent RIA
- L••• R•••••• H•••• from G•• G••••Sep 18, 2019 · Other
- G••••• S••••• C••••• from R•• C•••••• M••••••• L••Sep 5, 2019 · Affiliated broker-dealer or bank to independent RIA
- J••• S•••• L••• from S•••••• N••••••• • C••••••• I•••••••••Jul 12, 2019 · Affiliated broker-dealer or bank to independent RIA
- D••••• C•••••• R••••• from M••••• C•••••• S••••••••• I•••Jun 20, 2019 · Other
- M•••••• T•••• S••••• from W•••• F•••• A•••••••Apr 26, 2019 · Wirehouse to independent RIA
- C•••••• E•••••• B••••• from B• R•••• W••••• M•••••••••Sep 13, 2018 · Other
- B•••• A••• M••••• from R•• C•••••• M••••••• L••Aug 22, 2017 · Other
- A•••••• D••••• from R•• C•••••• M••••••• L••Oct 5, 2016 · Other
- S•••••• E•••• C••••••• from S•••••• N••••••• • C••••••• I•••••••••Sep 13, 2016 · Other
- T••• N••••• from W•••• F•••• A•••••••Dec 28, 2015 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••• S••••••• J••• · Ccocontrolsince 11/2016 · owns less than 5%
- H••••••• J••••••• R••• · Ceocontrolsince 09/2010 · owns 50% to 75%
- C•••••• D••••• A•••••• · Membersince 09/2010 · owns 5% to 10%
- F••••••••• G••••• I•• · Membersince 09/2010 · owns 5% to 10%
- G•••••• S•••••• D•••• · Membersince 09/2010 · owns less than 5%
- H••••• E•••••• J•••• · Membersince 09/2010 · owns 10% to 25%
- P•••••••• A••••••• G•••••• · Membersince 09/2010 · owns 10% to 25%
Related persons
Schedule D 7.A
- T•• J•••••• M••••••• F•••••••• G••••• L•••••broker-dealerreal estaten
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Florham Park, Nj · principal | 16 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Safety Harbor, FL2 employees
- G••••Wich, CT1 employees
- Mobile, AL1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- HNW share shiftChange between filings · filing Mar 30, 2026HNW share of RAUM moved from 47.0% to 65.0% between the annual amendments of 2025-03-31 and 2026-03-30peers: independent wealth managers, $100M to $500M (5,676)
What changed
consecutive filings, newest first
- Advisory employees · 14 to 15Mar 30, 2026 to Jul 28, 2026
- BD registered reps · 14 to 15Mar 30, 2026 to Jul 28, 2026
- Employees · 14 to 15Mar 30, 2026 to Jul 28, 2026
- State-registered IARs · 14 to 15Mar 30, 2026 to Jul 28, 2026
- Accounts · 360 to 367Mar 31, 2025 to Mar 30, 2026
- Advisory employees · 16 to 14Mar 31, 2025 to Mar 30, 2026
- BD registered reps · 16 to 14Mar 31, 2025 to Mar 30, 2026
- Charity clients · 9 to 7Mar 31, 2025 to Mar 30, 2026
- Corporate clients · 4 to 8Mar 31, 2025 to Mar 30, 2026
- HNW clients · 72 to 94Mar 31, 2025 to Mar 30, 2026
- Individual clients · 275 to 258Mar 31, 2025 to Mar 30, 2026
- Employees · 16 to 14Mar 31, 2025 to Mar 30, 2026
- State-registered IARs · 16 to 14Mar 31, 2025 to Mar 30, 2026
- Discretionary RAUM · $57.6M to $65.6MMar 31, 2025 to Mar 30, 2026
- HNW RAUM · $59.2M to $106MMar 31, 2025 to Mar 30, 2026
- Individual RAUM · $55.6M to $46.3MMar 31, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $69.6M to $96.1MMar 31, 2025 to Mar 30, 2026
- RAUM · $127M to $162MMar 31, 2025 to Mar 30, 2026
- Related bank · false to trueMar 31, 2025 to Mar 30, 2026
- Accounts · 102 to 360May 15, 2018 to Mar 31, 2025
- Advisory employees · 8 to 16May 15, 2018 to Mar 31, 2025
- BD registered reps · 9 to 16May 15, 2018 to Mar 31, 2025
- Charity clients · 1 to 9May 15, 2018 to Mar 31, 2025
- Corporate clients · 2 to 4May 15, 2018 to Mar 31, 2025
- HNW clients · 15 to 72May 15, 2018 to Mar 31, 2025
- Individual clients · 55 to 275May 15, 2018 to Mar 31, 2025
- Employees · 9 to 16May 15, 2018 to Mar 31, 2025
- Financial planning clients · 1-10 to 0May 15, 2018 to Mar 31, 2025
- State-registered IARs · 8 to 16May 15, 2018 to Mar 31, 2025
- Other offices · 3 to 5May 15, 2018 to Mar 31, 2025
- Discretionary RAUM · $17.8M to $57.6MMay 15, 2018 to Mar 31, 2025
- HNW RAUM · $30.5M to $59.2MMay 15, 2018 to Mar 31, 2025
- Individual RAUM · $7.8M to $55.6MMay 15, 2018 to Mar 31, 2025
- Non-discretionary RAUM · $25.6M to $69.6MMay 15, 2018 to Mar 31, 2025
- RAUM · $43.4M to $127MMay 15, 2018 to Mar 31, 2025
- Accounts · 89 to 102Mar 30, 2017 to Mar 28, 2018
- Advisory employees · 10 to 8Mar 30, 2017 to Mar 28, 2018
- Advisory activities · 3 to 4Mar 30, 2017 to Mar 28, 2018
- BD registered reps · 11 to 9Mar 30, 2017 to Mar 28, 2018
- Charity clients · unset to 1.0Mar 30, 2017 to Mar 28, 2018
Signals
1 dated events
- J•••••• M••••••• W••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Feb 10, 2017 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- J•••••• M••••••• W••••• M••••••••• L•• · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Business email
- i•••@j•••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 973-805-6232reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 888-467-3636reportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 973-805-6222reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- j•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 888-467-3636reportedpublic record, Form ADV, Jul 28, 2026
- Contact form
- j•••••••••.comreportedpublished by the firm, firm site, Sep 16, 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
- $10.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026