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••• C••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 157051SEC 801-73575IAPD
Latest filing Mar 25, 2014
First filing on the tape Feb 14, 2012 · 4 filings
RAUM
$7.4B
reported, Item 5.F
Discretionary
100%
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
27
16 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$7.1B gross assets
History
4 filings and snapshots on the tape
RAUM$7.4B as of Mar 25, 2014
Mar 25, 2013$5.6B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 25, 2014
Mar 25, 20130 then
Employees (5.A)27 as of Mar 25, 2014
Mar 25, 201327 then
Private funds2 as of Mar 25, 2014
Mar 25, 20132 then
RAUM +32% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 25, 2014; 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
$1.2BderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived3 offices incl. principal (1.F.5)
RAUM growth, one year
+32%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed fees, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehicles, selection of other advisers, 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)
  • 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
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
6reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, performancereported
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      J••• P•••••••• L•••Hedge Fund$6.9B155Feb 14, 2012
      J••• A••• G••••• P•••••••• L•••Hedge Fund$245M10Feb 14, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • K•••• R•••••• A• · Managing Membercontrol
        since 08/1996 · owns 50% to 75%
      • M••••••• T•• · Chief Financial Officercontrol
        since 08/1996 · owns less than 5%
      • S•••••••• M••••••• D• · Chief Compliance Officercontrol
        since 10/2010 · owns less than 5%
      • K•••• S••••••• M• · Trustee
        since 10/2008 · owns 10% to 25%
      Entity owners
      • T•• R••••• A• A•• S•••••• M• K••• F••••• T•••• D•• 0••••••••• · Member
        direct · owns 10% to 25%
      Related persons
      Schedule D 7.A
      • R•• C••••••• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      • Taipei, Taiwan, Republic of China
      • Tokyo, Japan
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $5.6B to $7.4B
        Mar 25, 2013 to Mar 25, 2014
      • RAUM · $5.6B to $7.4B
        Mar 25, 2013 to Mar 25, 2014
      • Employees · unset to 27.0
        Mar 27, 2012 to Mar 25, 2013
      • Advisory employees · unset to 16.0
        Mar 27, 2012 to Mar 25, 2013
      • BD registered reps · unset to 0.0
        Mar 27, 2012 to Mar 25, 2013
      • State-registered IARs · unset to 0.0
        Mar 27, 2012 to Mar 25, 2013
      • Discretionary RAUM · $4.9B to $5.6B
        Mar 27, 2012 to Mar 25, 2013
      • RAUM · $4.9B to $5.6B
        Mar 27, 2012 to Mar 25, 2013
      • Discretionary RAUM · $3.7B to $4.9B
        Feb 14, 2012 to Mar 27, 2012
      • RAUM · $3.7B to $4.9B
        Feb 14, 2012 to Mar 27, 2012
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      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