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.

Former SEC-registered adviser

J••• L••••• • C••••••• I•••

Former SEC-registered adviserNew York, New YorkCRD 160024SEC 801-74186IAPD
Latest filing Mar 29, 2017
First filing on the tape Feb 15, 2012 · 8 filings
RAUM
$1.5B
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
24
18 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
17
$1.5B gross assets
History
8 filings and snapshots on the tape
RAUM$1.5B as of Mar 29, 2017
Mar 28, 2013$755M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2017
Mar 28, 20130 then
Employees (5.A)24 as of Mar 29, 2017
Mar 28, 201325 then
Private funds17 as of Mar 29, 2017
Mar 28, 201314 then
RAUM +25% over the last fiscal year+35% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2017; 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
$86.7MderivedRAUM 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
+25%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 pooled vehiclesreportedItem 5.G
Custody
$857M, 17 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)
  • 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)
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
17reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$857M for 17 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
      Every departureEvery arrival
      Private funds
      7 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      J••• L••••• E••••• I•••••••• I•• L•••Private Equity Fund$3.3M31Feb 15, 2012
      J•••••• C•••••••• P•••••••• L•••Private Equity Fund$1.9M17Feb 15, 2012
      J•• P••••••• F••• I•• L•••Private Equity Fund$89,00025Feb 15, 2012
      J•••••• C•••••••• P•••••••• L•••Private Equity Fund$40,00015Feb 15, 2012
      J•• E•••••••• I•••••••• I•• L•••Private Equity Fund$22,00019Feb 15, 2012
      J• F• L••••• E••••• I•••••••• I• L•no longer reportedPrivate Equity Fund$012Feb 15, 2012
      J•••••• C•••••••• P•••••••• L•••no longer reportedPrivate Equity Fund$017Feb 15, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • L•••••• B•••••• · Ownercontrol
        since 10/1990 · owns 50% to 75%
      • L•••••• J•••• F•••••• · Chief E•••••••• Officer/Ownercontrol
        since 10/1990 · owns 50% to 75%
      • R••••••• D•••• · Chief Compliance Officercontrol
        since 01/2012 · owns less than 5%
      Related persons
      Schedule D 7.A
      • J•• G• I•••••••• I•• L••
        pooled vehicle sponsory
      • J•• G• I•••••••• I••• L••
        pooled vehicle sponsory
      • J•• G• I•••••••• I•• L••
        pooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      • Arlington, VA
      What changed
      consecutive filings, newest first
      • Accounts · 15 to 17
        Mar 30, 2016 to Mar 29, 2017
      • Assets in custody · $515M to $857M
        Mar 30, 2016 to Mar 29, 2017
      • Employees · 25 to 24
        Mar 30, 2016 to Mar 29, 2017
      • Private funds · 15 to 17
        Mar 30, 2016 to Mar 29, 2017
      • Discretionary RAUM · $1.2B to $1.5B
        Mar 30, 2016 to Mar 29, 2017
      • RAUM · $1.2B to $1.5B
        Mar 30, 2016 to Mar 29, 2017
      • Accounts · 12 to 15
        Mar 30, 2015 to Mar 30, 2016
      • Assets in custody · $327M to $515M
        Mar 30, 2015 to Mar 30, 2016
      • Employees · 26 to 25
        Mar 30, 2015 to Mar 30, 2016
      • Private funds · 12 to 15
        Mar 30, 2015 to Mar 30, 2016
      • Discretionary RAUM · $625M to $1.2B
        Mar 30, 2015 to Mar 30, 2016
      • RAUM · $625M to $1.2B
        Mar 30, 2015 to Mar 30, 2016
      • Accounts · 14 to 12
        Oct 2, 2014 to Mar 30, 2015
      • Assets in custody · $232M to $327M
        Oct 2, 2014 to Mar 30, 2015
      • Employees · 25 to 26
        Oct 2, 2014 to Mar 30, 2015
      • Private funds · 14 to 12
        Oct 2, 2014 to Mar 30, 2015
      • Discretionary RAUM · $594M to $625M
        Oct 2, 2014 to Mar 30, 2015
      • RAUM · $594M to $625M
        Oct 2, 2014 to Mar 30, 2015
      • Advisory employees · 17 to 18
        Mar 28, 2013 to Mar 31, 2014
      • Assets in custody · $755M to $232M
        Mar 28, 2013 to Mar 31, 2014
      • Discretionary RAUM · $755M to $594M
        Mar 28, 2013 to Mar 31, 2014
      • RAUM · $755M to $594M
        Mar 28, 2013 to Mar 31, 2014
      • Accounts · 11 to 14
        Mar 21, 2012 to Mar 28, 2013
      • Advisory employees · unset to 17.0
        Mar 21, 2012 to Mar 28, 2013
      • BD registered reps · unset to 0.0
        Mar 21, 2012 to Mar 28, 2013
      • Assets in custody · $779M to $755M
        Mar 21, 2012 to Mar 28, 2013
      • Employees · unset to 25.0
        Mar 21, 2012 to Mar 28, 2013
      • State-registered IARs · unset to 0.0
        Mar 21, 2012 to Mar 28, 2013
      • Private funds · 12 to 14
        Mar 21, 2012 to Mar 28, 2013
      • Discretionary RAUM · $779M to $755M
        Mar 21, 2012 to Mar 28, 2013
      • RAUM · $779M to $755M
        Mar 21, 2012 to Mar 28, 2013
      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