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•••••• P••••••• L••
Latest filing Mar 28, 2019
First filing on the tape Feb 13, 2012 · 9 filings
RAUM
$203M
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
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
5
$203M gross assets
History
9 filings and snapshots on the tape
RAUM$203M as of Mar 28, 2019
Mar 26, 2013$589M then
HNW client RAUM$0 as of Mar 28, 2019
Mar 28, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 28, 2019
Mar 26, 20130 then
Employees (5.A)7 as of Mar 28, 2019
Mar 26, 201311 then
Private funds5 as of Mar 28, 2019
Mar 26, 20139 then
RAUM -6.1% over the last fiscal year-9.3% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 28, 2019; 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
- $40.5MderivedRAUM 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
- -6.1%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
- $90.2M, 5 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$203M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 5reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $90.2M for 5 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
9 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| J•••••••• S•• U•• F••• L• | Private Equity Fund | $20.0M | 3 | Feb 13, 2012 |
| J•••••••• C•••••• P••••••• V• L• | Private Equity Fund | $13.5M | 9 | Feb 13, 2012 |
| J•••••••• C•••••• P••••••• I• L• | Private Equity Fund | $11.1M | 45 | Feb 13, 2012 |
| I•• F••••• S••• I•••••••• I•• L• | Private Equity Fund | $6.1M | 22 | Feb 13, 2012 |
| I•• B•••••• G••••• L•••••••• E••••• P••• H••••••• L••no longer reported | Private Equity Fund | $1.8M | 33 | Feb 13, 2012 |
| J•• P••••••• I• L•• | Private Equity Fund | $484,000 | 29 | Feb 13, 2012 |
| I•• B•••••• U••• L•••••••• E••••• P••• L•• | Private Equity Fund | $341,000 | 50 | Feb 13, 2012 |
| J•••••••• E••••••• P••••••• I• L•• | Private Equity Fund | $152,000 | 65 | Feb 13, 2012 |
| I•• B•••••• G••••• L•••••••• E••••• P••• L••• | Private Equity Fund | $110,000 | 33 | Feb 13, 2012 |
Owners and control persons
Schedule A and B, latest filing
- F•••••••• B••••• P••• · Managing Membercontrolsince 01/2005 · owns 50% to 75%
- L••••••• J••••• L•••• · Managing Membercontrolsince 01/2005 · owns less than 5%
- W•• Y••• · Cfo, Ccocontrolsince 08/2009 · owns less than 5%
Entity owners
- J•••••••• G•••• L•• · Non-Managing Memberdirect · owns 25% to 50% · public reporting company
Related persons
Schedule D 7.A
- J•• I• L••pooled vehicle sponsory
- J•• V• L••pooled vehicle sponsory
- J•••••••• F•••••• L••investment adviserpooled vehicle sponsornRAUM $25B
- J•••••••• L••broker-dealerbanktrust companyn
- J••••••••• S•••••••• I••••••••• U•• L••pooled vehicle sponsory
- V••• F••••• S••• I••••••••• I•• L••pooled vehicle sponsorn
Advisers that list J•••••••• C•••••• P••••••• L•• as a related person
- 174323 n
Offices
Schedule D 1.F, the 25 largest
- Houston, TX2 employees
What changed
consecutive filings, newest first
- Accounts · 8 to 5Mar 28, 2018 to Mar 28, 2019
- Advisory employees · 7 to 6Mar 28, 2018 to Mar 28, 2019
- BD registered reps · 4 to 3Mar 28, 2018 to Mar 28, 2019
- Pooled vehicle clients · 8 to 5Mar 28, 2018 to Mar 28, 2019
- Assets in custody · $96.4M to $90.2MMar 28, 2018 to Mar 28, 2019
- Employees · 8 to 7Mar 28, 2018 to Mar 28, 2019
- Private funds · 8 to 5Mar 28, 2018 to Mar 28, 2019
- Discretionary RAUM · $216M to $203MMar 28, 2018 to Mar 28, 2019
- Pooled vehicle RAUM · $216M to $203MMar 28, 2018 to Mar 28, 2019
- RAUM · $216M to $203MMar 28, 2018 to Mar 28, 2019
- Advisory employees · 8 to 7Mar 29, 2017 to Mar 28, 2018
- BD registered reps · 5 to 4Mar 29, 2017 to Mar 28, 2018
- Charity clients · unset to 0.0Mar 29, 2017 to Mar 28, 2018
- Corporate clients · unset to 0.0Mar 29, 2017 to Mar 28, 2018
- HNW clients · unset to 0.0Mar 29, 2017 to Mar 28, 2018
- Individual clients · unset to 0.0Mar 29, 2017 to Mar 28, 2018
- Pension plan clients · unset to 0.0Mar 29, 2017 to Mar 28, 2018
- Pooled vehicle clients · unset to 8.0Mar 29, 2017 to Mar 28, 2018
- Assets in custody · $139M to $96.4MMar 29, 2017 to Mar 28, 2018
- Employees · 9 to 8Mar 29, 2017 to Mar 28, 2018
- Other offices · unset to 1.0Mar 29, 2017 to Mar 28, 2018
- Discretionary RAUM · $262M to $216MMar 29, 2017 to Mar 28, 2018
- HNW RAUM · unset to 0.0Mar 29, 2017 to Mar 28, 2018
- Individual RAUM · unset to 0.0Mar 29, 2017 to Mar 28, 2018
- Pension RAUM · unset to 0.0Mar 29, 2017 to Mar 28, 2018
- Pooled vehicle RAUM · unset to 215848000.0Mar 29, 2017 to Mar 28, 2018
- RAUM · $262M to $216MMar 29, 2017 to Mar 28, 2018
- Accounts · 9 to 8Mar 29, 2016 to Mar 29, 2017
- BD registered reps · 6 to 5Mar 29, 2016 to Mar 29, 2017
- Assets in custody · $146M to $139MMar 29, 2016 to Mar 29, 2017
- Private funds · 9 to 8Mar 29, 2016 to Mar 29, 2017
- Discretionary RAUM · $272M to $262MMar 29, 2016 to Mar 29, 2017
- RAUM · $272M to $262MMar 29, 2016 to Mar 29, 2017
- Related insurance company · true to falseMar 29, 2016 to Mar 29, 2017
- Advisory employees · 9 to 8Mar 30, 2015 to Mar 29, 2016
- BD registered reps · 7 to 6Mar 30, 2015 to Mar 29, 2016
- Assets in custody · $145M to $146MMar 30, 2015 to Mar 29, 2016
- Employees · 10 to 9Mar 30, 2015 to Mar 29, 2016
- Discretionary RAUM · $285M to $272MMar 30, 2015 to Mar 29, 2016
- RAUM · $285M to $272MMar 30, 2015 to Mar 29, 2016
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- J•••••••• C•••••• P••••••• L•• · Independent Sponsorsshared crd · capital_provider
- J•••••••• C•••••• P••••••• L•• · Private Equityshared crd · organization
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