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•••• M••••••••• L••
Latest filing Mar 30, 2020
First filing on the tape Feb 15, 2012 · 15 filings
RAUM
$105M
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
7
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
$106M gross assets
History
15 filings and snapshots on the tape
RAUM$105M as of Mar 30, 2020
Apr 1, 2013$503M then
HNW client RAUM: $4.4M
State-registered IARs (5.B.3)0 as of Mar 30, 2020
Apr 1, 20130 then
Employees (5.A)7 as of Mar 30, 2020
Apr 1, 201313 then
Private funds1 as of Mar 30, 2020
Apr 1, 20134 then
RAUM +8.9% over the last fiscal year+4.1% a year over threeIARs 0 to 0offices 2 to 1
Practice profile
derived from the filing of Mar 30, 2020; 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
- $52.7MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.9%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, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $105M, 3 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- the adviser acts as qualified custodian (9.D.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$105M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $105M for 3 clientsreported
- Compensation
- % of AUM, 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
Private funds
10 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| J•••• A•••• S•••• D•••••• E••••• M••••• F•••• L• | Hedge Fund | $106M | 2 | Mar 31, 2017 |
| J•••• A•••• D••••••••• G••••• M••••• F•••• L•no longer reported | Hedge Fund | $37.6M | 2 | Mar 31, 2014 |
| J•••• A•••• L••••• G•• M••••• F•••• S••no longer reported | Hedge Fund | $32.2M | 8 | Feb 15, 2012 |
| J•••• A•••• C•• M••••• F•••• L•no longer reported | Hedge Fund | $25.1M | 1 | Apr 1, 2013 |
| J•••• A•••• D••••••••• G••••• F•••• L•no longer reported | Hedge Fund | $20.9M | 2 | Mar 31, 2014 |
| J•••• A•••• G••••• R••• E••••• F•••• L•no longer reported | Hedge Fund | $18.9M | 9 | Feb 15, 2012 |
| J•••• A•••• G••••• R••• E••••• M••••• F•••• L•no longer reported | Hedge Fund | $18.9M | 1 | Mar 31, 2014 |
| J•••• A•••• D••••••••• G••••• F•••• L••no longer reported | Hedge Fund | $16.7M | 1 | Oct 21, 2014 |
| J•••• A•••• G••••• R••• E••••• F•••• L••no longer reported | Hedge Fund | $14.8M | 1 | Mar 31, 2014 |
| J•••• A•••• E••••••• M•••••• F•••• I••••• F•••• L•no longer reported | Hedge Fund | $79,241 | 1 | Feb 15, 2012 |
Owners and control persons
Schedule A and B, latest filing
- A•••• E••••••••• N•• · Chief Compliance Officercontrolsince 05/2017 · owns less than 5%
- G•••••• K••••• R••••• · Managing Partnercontrolsince 05/2006 · owns 25% to 50%
- M•••••••• M•••••• · Chief Operating Officercontrolsince 05/2006 · owns 10% to 25%
- N•••••• D••••• J•••• · Partnercontrolsince 05/2006 · owns 25% to 50%
- T••••• B••••• N••••• · Presidentcontrolsince 01/2017 · owns less than 5%
- V••••••• J••••• S••••• · Vice Presidentcontrolsince 01/2017 · owns 10% to 25%
Related persons
Schedule D 7.A
- F•• C•••••• L••broker-dealern
- Easterly Funds LLCinvestment advisernRAUM $1.1B
- J•••• A••••• L••pooled vehicle sponsorn
Advisers that list J•••• A•••• M••••••••• L•• as a related person
- 147277 n
Offices
Schedule D 1.F, the 25 largest
- Greenwood Village, CO1 employees
What changed
consecutive filings, newest first
- Advisory activities · 2 to 3May 9, 2019 to Mar 30, 2020
- BD registered reps · 8 to 7May 9, 2019 to Mar 30, 2020
- Assets in custody · $96.7M to $105MMay 9, 2019 to Mar 30, 2020
- Employees · 9 to 7May 9, 2019 to Mar 30, 2020
- Other offices · 2 to 1May 9, 2019 to Mar 30, 2020
- Discretionary RAUM · $111M to $105MMay 9, 2019 to Mar 30, 2020
- Pooled vehicle RAUM · $111M to $105MMay 9, 2019 to Mar 30, 2020
- RAUM · $111M to $105MMay 9, 2019 to Mar 30, 2020
- Discretionary RAUM · $96.7M to $111MMar 29, 2019 to May 9, 2019
- Pooled vehicle RAUM · $96.7M to $111MMar 29, 2019 to May 9, 2019
- RAUM · $96.7M to $111MMar 29, 2019 to May 9, 2019
- Assets in custody · $106M to $96.7MMar 27, 2018 to Mar 29, 2019
- Employees · 10 to 9Mar 27, 2018 to Mar 29, 2019
- Discretionary RAUM · $111M to $96.7MMar 27, 2018 to Mar 29, 2019
- HNW RAUM · 4413449.0 to unsetMar 27, 2018 to Mar 29, 2019
- Pooled vehicle RAUM · $106M to $96.7MMar 27, 2018 to Mar 29, 2019
- RAUM · $111M to $96.7MMar 27, 2018 to Mar 29, 2019
- Accounts · 4 to 2Aug 22, 2017 to Mar 27, 2018
- Advisory employees · 1 to 4Aug 22, 2017 to Mar 27, 2018
- BD registered reps · 5 to 8Aug 22, 2017 to Mar 27, 2018
- Pooled vehicle clients · unset to 3.0Aug 22, 2017 to Mar 27, 2018
- Assets in custody · $107M to $106MAug 22, 2017 to Mar 27, 2018
- Employees · 7 to 10Aug 22, 2017 to Mar 27, 2018
- Other offices · unset to 2.0Aug 22, 2017 to Mar 27, 2018
- Discretionary RAUM · $107M to $111MAug 22, 2017 to Mar 27, 2018
- HNW RAUM · unset to 4413449.0Aug 22, 2017 to Mar 27, 2018
- Pooled vehicle RAUM · unset to 106406183.0Aug 22, 2017 to Mar 27, 2018
- RAUM · $107M to $111MAug 22, 2017 to Mar 27, 2018
- Assets in custody · $93.3M to $107MJun 8, 2017 to Aug 22, 2017
- Discretionary RAUM · $93.3M to $107MJun 8, 2017 to Aug 22, 2017
- RAUM · $93.3M to $107MJun 8, 2017 to Aug 22, 2017
- Private funds · 5 to 1Mar 29, 2016 to Mar 31, 2017
- Accounts · 6 to 4Mar 29, 2016 to Mar 31, 2017
- Advisory employees · 6 to 1Mar 29, 2016 to Mar 31, 2017
- BD registered reps · 23 to 5Mar 29, 2016 to Mar 31, 2017
- Assets in custody · $217M to $93.3MMar 29, 2016 to Mar 31, 2017
- Employees · 27 to 7Mar 29, 2016 to Mar 31, 2017
- Discretionary RAUM · $217M to $93.3MMar 29, 2016 to Mar 31, 2017
- RAUM · $217M to $93.3MMar 29, 2016 to Mar 31, 2017
- Accounts · 7 to 6Mar 25, 2015 to Mar 29, 2016
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