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••••• B•••• A•••• M••••••••• L••
Latest filing Sep 1, 2016
First filing on the tape Dec 2, 2011 · 11 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 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$22.2M as of Mar 23, 2016
Mar 6, 2012$41.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Mar 23, 2016
Mar 6, 20120 then
Employees (5.A)3 as of Mar 23, 2016
Mar 26, 20133 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 2 to 2
Practice profile
derived from the filing of Sep 1, 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
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -45%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
- fixed feesreportedItem 5.E
- Advisory activities
- otherreportedItem 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
- buys or sells securities as principal to or from clients (8.A.2)
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
- n/areported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixedreported
- 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
Left, latest
- P•••• S• J••••• to S•••••• N••••••• • C••••••• I•••••••••Jun 1, 2017 · Other
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• J••••• M••••• · Chief Compliance Officercontrolsince 01/2011 · owns 25% to 50%
- J•••••• P••••• S•••• · Managing Membercontrolsince 01/2011 · owns 50% to 75%
- C••• M•••••• · Membersince 05/2011 · owns 5% to 10%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 96.0 to unsetMar 23, 2016 to Jul 22, 2016
- Advisory activities · 4 to 1Mar 23, 2016 to Jul 22, 2016
- Discretionary RAUM · 22201240.0 to unsetMar 23, 2016 to Jul 22, 2016
- Non-discretionary RAUM · 0.0 to unsetMar 23, 2016 to Jul 22, 2016
- RAUM · 22201240.0 to unsetMar 23, 2016 to Jul 22, 2016
- Accounts · 135 to 96Mar 11, 2015 to Mar 23, 2016
- Advisory activities · 5 to 4Mar 11, 2015 to Mar 23, 2016
- Financial planning clients · 0 to unsetMar 11, 2015 to Mar 23, 2016
- Discretionary RAUM · $40.7M to $22.2MMar 11, 2015 to Mar 23, 2016
- RAUM · $40.7M to $22.2MMar 11, 2015 to Mar 23, 2016
- Accounts · 155 to 135Mar 18, 2014 to Mar 11, 2015
- Financial planning clients · unset to 0Mar 18, 2014 to Mar 11, 2015
- Discretionary RAUM · $47.1M to $40.7MMar 18, 2014 to Mar 11, 2015
- RAUM · $47.1M to $40.7MMar 18, 2014 to Mar 11, 2015
- Accounts · 171 to 155Mar 26, 2013 to Mar 18, 2014
- Discretionary RAUM · $44.6M to $47.1MMar 26, 2013 to Mar 18, 2014
- RAUM · $44.6M to $47.1MMar 26, 2013 to Mar 18, 2014
- Accounts · 176 to 171Jun 22, 2012 to Mar 26, 2013
- Advisory employees · unset to 3.0Jun 22, 2012 to Mar 26, 2013
- Employees · unset to 3.0Jun 22, 2012 to Mar 26, 2013
- employees ins••••ce agents · 1 to 0Jun 22, 2012 to Mar 26, 2013
- Financial planning clients · 0 to unsetJun 22, 2012 to Mar 26, 2013
- State-registered IARs · 0 to 2Jun 22, 2012 to Mar 26, 2013
- Discretionary RAUM · $41.0M to $44.6MJun 22, 2012 to Mar 26, 2013
- RAUM · $41.0M to $44.6MJun 22, 2012 to Mar 26, 2013
- Advisory activities · 4 to 5Mar 6, 2012 to Jun 22, 2012
- Accounts · 99 to 176Dec 2, 2011 to Mar 6, 2012
- employees ins••••ce agents · unset to 1.0Dec 2, 2011 to Mar 6, 2012
- Discretionary RAUM · $26.8M to $41.0MDec 2, 2011 to Mar 6, 2012
- RAUM · $26.8M to $41.0MDec 2, 2011 to Mar 6, 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