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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
J•• C•••••• M••••••••• L••
Latest filing May 21, 2026
First filing on the tape Mar 23, 2012 · 50 filings
SEC status approved since Oct 26, 2011
RAUM
$1.9B
reported, Item 5.F
Discretionary
96%
of RAUM
Private clients
22%
$421M individuals and HNW
Advisors
14
registered through the firm on IAPD
RAUM per advisor
$136M
derived; firm RAUM over IAPD count
Employees
21
13 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
50 filings and snapshots on the tape
RAUM$1.9B as of May 21, 2026
Jul 18, 2012$13.9M then
HNW client RAUM$351M as of May 21, 2026
Jul 20, 2018$254M then
State-registered IARs (5.B.3)13 as of May 21, 2026
Jul 18, 20120 then
Employees (5.A)21 as of May 21, 2026
May 1, 201321 then
Private funds: no history
RAUM +12% over the last fiscal year+2.8% a year over threeIARs 12 to 13
Practice profile
derived from the filing of May 21, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- RAUM per advisor
- $136MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 28derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.5MderivedHNW RAUM over HNW clients
- Average account
- $1.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 96%derivedof RAUM
- Institutional
- 48%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 3.5derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +12%derivedbetween the last two annual amendments
- Advisor growth, one year
- +8.3%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.4%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companiesreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $250M, 196 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)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Charitable organizations$523M35%
- High-net-worth individuals$351M23%
- Pension and profit-sharing plans$223M15%
- Insurance companies$165M11%
- Corporations and businesses$132M8.7%
- Individuals$69.6M4.6%
- Investment companies$45.2M3.0%
- Individual clients
- 284reported
- HNW clients
- 101reported
- Pension plan clients
- 11reported
- Charitable clients
- 42reported
- Accounts
- 1,675reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- $0 sponsored, $393M managedreported
- Custody of client assets
- $250M for 196 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.22 fund_share=0.02 institutional_share=0.48 related_bd=false related_bank=false bd_reps=2.0derived
Advisors registered through the firm
14 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• P••••• W•••• | St. Louis, Mo | Mar 14, 2013 | 47 y | 1 |
| R•••••• J••••• M••• | St. Louis, Mo | Mar 18, 2013 | 31 y | 1 |
| S••••• J••• S••••••••• | St. Louis, Mo | Mar 18, 2013 | 38 y | 2 |
| N••••• B••••••• C••••• | St. Louis, Mo | Mar 18, 2013 | 31 y | 1 |
| D•••• J••••• P••••••• | St. Louis, Mo | Mar 18, 2013 | 32 y | 2 |
| J•••• G•••••• S••••••• | St. Louis, Mo | Mar 18, 2013 | 16 y | 2 |
| M•••••• R••••• W•••• | St. Louis, Mo | Mar 18, 2013 | 15 y | 1 |
| A••• D••••• V••• | St. Louis, Mo | Sep 3, 2020 | 36 y | 0 |
| R••••• M•••••• B••••• | St. Louis, Mo | Sep 20, 2021 | 25 y | 0 |
| G••••• M••••••••• | St. Louis, Mo | Oct 26, 2021 | 11 y | 1 |
| D•••• W•••••• K••••••• | St. Louis, Mo | Oct 28, 2021 | 26 y | 1 |
| C•••••• S••• O•••••••Chartered Financial Analyst | St. Louis, Mo | Jul 10, 2023 | 10 y | 1 |
| G•••••• R••• D••• | St. Louis, Mo | Jan 7, 2026 | 11 y | 0 |
| D••••• J••• C••••• | St. Louis, Mo | Sep 4, 2026 | 13 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount3 left over 36 months
Left, latest
- C••••• C••• P•••••• to J••• M••••• S••••••••• L••Aug 20, 2024 · RIA to wirehouse
- M•••••• K••••••••• to C•••••• C••••••• L••Dec 1, 2023 · RIA to RIA
- J•••• M•••••• S•••••• to C•••••• C••••••• L••Dec 1, 2023 · RIA to RIA
- G•••••• P••• L•••••• to M•• I•••••••• S•••••••• L••Jan 21, 2022 · RIA to affiliated broker-dealer or bank
- B•••••• L••• M••••••••• to U•• F•••••••• S••••••• I•••Jul 19, 2021 · RIA to wirehouse
- C•••••• E••••• D••••• to S•••••• N••••••• • C••••••• I•••••••••Jan 22, 2021 · RIA to affiliated broker-dealer or bank
- T••• T••••• G•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Sep 30, 2016 · Other
Joined, latest
- C•••••• S••• O••••••• from M••••• G•••• I••••••••• A•••••••• L••Jul 10, 2023 · RIA to RIA
- D•••• W•••••• K••••••• from J•• A•••••••Oct 28, 2021 · Other
- G••••• M••••••••• from F••••• I•••••••••Oct 26, 2021 · RIA to RIA
- C••••• C••• P•••••• from G••••••• A•••• M••••••••• L••May 18, 2021 · Other
- M•••••• K••••••••• from C••• P•••••• W••••• A•••••••• I•••Apr 18, 2019 · Affiliated broker-dealer or bank to independent RIA
- J•••• M•••••• S•••••• from C••• P•••••• W••••• A•••••••• I•••Apr 18, 2019 · Affiliated broker-dealer or bank to independent RIA
- B•••••• L••• M••••••••• from K•••••• C•••••• M•••••••••Dec 6, 2016 · Other
- D•••• J••••• P••••••• from J•• A•••••••Mar 18, 2013 · Other
- N••••• B••••••• C••••• from J•• A•••••••Mar 18, 2013 · Other
- R•••••• J••••• M••• from J•• A•••••••Mar 18, 2013 · Other
- M•••••• R••••• W•••• from J•• A•••••••Mar 18, 2013 · Other
- C•••••• E••••• D••••• from J•• A•••••••Mar 18, 2013 · Other
- S••••• J••• S••••••••• from J•• A•••••••Mar 18, 2013 · Other
- T••• T••••• G•••••• from J•• A•••••••Mar 18, 2013 · Other
- J•••• G•••••• S••••••• from J•• A•••••••Mar 18, 2013 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for C•••••• C••••••• L••Dec 1, 2023 · C••••••, Il
- 2 joined from C••• P•••••• W••••• A•••••••• I•••May 28, 2019 · C••••••, Il
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A••••••• D•••••• D•••• · Chief Compliance Officercontrolsince 07/2021 · owns less than 5%
- C•••••• N•••••• B••••••• · Chief Executive Officer/Chief Investment Officer Of Portfolio Operations And Tradingcontrolsince 09/2011 · owns less than 5%
- H•••• K•••• A••• · Senior Vice President Of Operationscontrolsince 09/2021 · owns less than 5%
- M•••• R••••••• J••••• · Senior Vice President, Director Of Portfolio Operations And Tradingcontrolsince 09/2011 · owns less than 5%
- M••••• D••••••• W•••• · Chief Financial Officercontrolsince 09/2011 · owns less than 5%
- S•••••••• J••••• G•••••• · Senior Vice President Of Strategic Relationshipscontrolsince 12/2023 · owns less than 5%
- W••••• L••••• Y••••• · Controller And Vice Presidentcontrolsince 01/2026 · owns less than 5%
- C•••••• N•••••• B••••••• · Presidentcontrolsince 03/2020 · owns 75% or more of J• G•••• • C•
Entity owners
- J• G•••• • C• · Managing Member/Shareholderdirect · owns 75% or more
Related persons
Schedule D 7.A
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| St Louis, Mo | 14 | 2 | 0 | ||
| C••••••, Il | 1 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
4 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing May 21, 2026S•••••••• J••••• G•••••• (SENIOR VICE PRESIDENT OF STRATEGIC RELATIONSHIPS) appeared on Schedule A between the filings of 2022-07-14 and 2026-05-21peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing May 21, 2026M••••• D••••••• W•••• (CHIEF FINANCIAL OFFICER) left Schedule A between the filings of 2022-07-14 and 2026-05-21peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing May 21, 2026W••••• L••••• Y••••• (CONTROLLER AND VICE PRESIDENT) appeared on Schedule A between the filings of 2022-07-14 and 2026-05-21peers: independent wealth managers, $1B to $5B (1,362)
- control person changedChange between filings · filing May 21, 2026M•••• R••••••• J••••• (SENIOR VICE PRESIDENT, DIRECTOR OF PORTFOLIO OPERATIONS AND TRADING) left Schedule A between the filings of 2022-07-14 and 2026-05-21peers: independent wealth managers, $1B to $5B (1,362)
What changed
consecutive filings, newest first
- Accounts · 1,530 to 1,675Jan 6, 2026 to Mar 30, 2026
- Advisory employees · 14 to 13Jan 6, 2026 to Mar 30, 2026
- BD registered reps · 1 to 2Jan 6, 2026 to Mar 30, 2026
- Charity clients · 41 to 42Jan 6, 2026 to Mar 30, 2026
- Corporate clients · 18 to 16Jan 6, 2026 to Mar 30, 2026
- HNW clients · 143 to 101Jan 6, 2026 to Mar 30, 2026
- Individual clients · 219 to 284Jan 6, 2026 to Mar 30, 2026
- Assets in custody · $45.7M to $250MJan 6, 2026 to Mar 30, 2026
- Employees · 20 to 21Jan 6, 2026 to Mar 30, 2026
- State-registered IARs · 12 to 13Jan 6, 2026 to Mar 30, 2026
- Discretionary RAUM · $1.6B to $1.8BJan 6, 2026 to Mar 30, 2026
- HNW RAUM · $340M to $351MJan 6, 2026 to Mar 30, 2026
- Individual RAUM · $38.7M to $69.6MJan 6, 2026 to Mar 30, 2026
- Non-discretionary RAUM · $81.7M to $77.9MJan 6, 2026 to Mar 30, 2026
- Pension RAUM · $183M to $223MJan 6, 2026 to Mar 30, 2026
- RAUM · $1.7B to $1.9BJan 6, 2026 to Mar 30, 2026
- Wrap assets (manager) · $352M to $393MJan 6, 2026 to Mar 30, 2026
- Financial planning clients · 26-50 to 26-50Apr 23, 2025 to Jul 1, 2025
- Accounts · 1,450 to 1,530Dec 9, 2024 to Apr 23, 2025
- Advisory employees · 15 to 14Dec 9, 2024 to Apr 23, 2025
- Charity clients · 85 to 41Dec 9, 2024 to Apr 23, 2025
- Corporate clients · 33 to 18Dec 9, 2024 to Apr 23, 2025
- HNW clients · 246 to 143Dec 9, 2024 to Apr 23, 2025
- Individual clients · 255 to 219Dec 9, 2024 to Apr 23, 2025
- Pension plan clients · 12 to 11Dec 9, 2024 to Apr 23, 2025
- Assets in custody · $2.4M to $45.7MDec 9, 2024 to Apr 23, 2025
- Employees · 21 to 20Dec 9, 2024 to Apr 23, 2025
- Financial planning clients · 101-250 to 26-50Dec 9, 2024 to Apr 23, 2025
- Discretionary RAUM · $1.4B to $1.6BDec 9, 2024 to Apr 23, 2025
- HNW RAUM · $377M to $340MDec 9, 2024 to Apr 23, 2025
- Individual RAUM · $50.2M to $38.7MDec 9, 2024 to Apr 23, 2025
- Non-discretionary RAUM · $114M to $81.7MDec 9, 2024 to Apr 23, 2025
- Pension RAUM · $147M to $183MDec 9, 2024 to Apr 23, 2025
- RAUM · $1.6B to $1.7BDec 9, 2024 to Apr 23, 2025
- Wrap assets (manager) · $118M to $352MDec 9, 2024 to Apr 23, 2025
- Advisory employees · 16 to 15Mar 26, 2024 to Aug 20, 2024
- Employees · 22 to 21Mar 26, 2024 to Aug 20, 2024
- State-registered IARs · 13 to 12Mar 26, 2024 to Aug 20, 2024
- Other offices · 4 to 3Mar 26, 2024 to Aug 20, 2024
- Accounts · 1,776 to 1,450Feb 27, 2024 to Mar 26, 2024
Signals
14 dated events
- C••••• C••• P•••••• left J•• C•••••• M••••••••• L•• for J••• M••••• S••••••••• L•• (registered 2024-10-09)Aug 20, 2024 · Advisor changed firm · fact
- M•••••• K••••••••• left J•• C•••••• M••••••••• L•• for C•••••• C••••••• L•• (registered 2023-11-06)Dec 1, 2023 · Advisor changed firm · fact
- J•••• M•••••• S•••••• left J•• C•••••• M••••••••• L•• for C•••••• C••••••• L•• (registered 2023-11-06)Dec 1, 2023 · Advisor changed firm · fact
- 2 advisors left J•• C•••••• M••••••••• L•• (C••••••, IL) for C•••••• C••••••• L•• on the same dayDec 1, 2023 · Team lift-out · derived
- Anne Kate Hurt (Senior Vice President Of Operations) appeared on Schedule A of J•• C•••••• M••••••••• L••Jul 14, 2022 · Control person joined · fact
- G•••••• P••• L•••••• left J•• C•••••• M••••••••• L•• for M•• I•••••••• S•••••••• L•• (registered 2023-04-10)Jan 21, 2022 · Advisor changed firm · fact
- J•• C•••••• M••••••••• L•• reported RAUM $2.1B, up 50% from $1.4B (2021-03-05 to 2021-07-27)Jul 27, 2021 · RAUM change · derived
- Stephen Matthew Hardin (Chief Compliance Officer) no longer on Schedule A of J•• C•••••• M••••••••• L•• (listed 2021-03-05, absent 2021-07-27)Jul 27, 2021 · Control person left · inference
- Diane Denise Alfieri (Chief Compliance Officer) appeared on Schedule A of J•• C•••••• M••••••••• L••Jul 27, 2021 · Control person joined · fact
- Edward Charles Dodson (Vice President/Chief Compliance Officer) no longer on Schedule A of J•• C•••••• M••••••••• L•• (listed 2020-06-29, absent 2021-02-18)Feb 18, 2021 · Control person left · inference
- Stephen Matthew Hardin (Chief Compliance Officer) appeared on Schedule A of J•• C•••••• M••••••••• L••Feb 18, 2021 · Control person joined · fact
- Jolene Roberta Maue (Vp, Director Of Portfolio Operations And Trading) appeared on Schedule A of J•• C•••••• M••••••••• L••Feb 18, 2021 · Control person joined · fact
- J••• D••••• Ferry (Chairman) no longer on Schedule A of J•• C•••••• M••••••••• L•• (listed 2019-07-24, absent 2020-06-29)Jun 29, 2020 · Control person left · inference
- J•• C•••••• M••••••••• L•• reported RAUM $1.4B, up 28% from $1.1B (2019-03-14 to 2019-07-24)Jul 24, 2019 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 800-966-4596reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 314-997-1277reportedpublished by the firm, firm site, Sep 15, 2026
- Business phone
- 314-447-2510reportedpublished by the firm, firm site, Sep 15, 2026
- Firm profile
- linkedin.com/company/jagcapitalmanagementreportedpublic record, Form ADV, Sep 18, 2026
- Website
- JAGCAP.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 314-997-1277reportedpublic record, Form ADV, May 21, 2026
- Team page
- jagcap.com/teamreportedpublished by the firm, firm site, Sep 15, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $136Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026