DFX Intelligence

RIA Intelligence

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SEC-registered adviser

J••• C••••••• L••

Other adviserWalnut Creek, CaliforniaCRD 163084SEC 801-107372IAPD

Latest filing May 5, 2026

First filing on the tape Feb 26, 2016 · 23 filings

SEC status approved since Mar 17, 2016

RAUM

$215M

reported, Item 5.F

Discretionary

88%

of RAUM

Private clients

12%

$26.2M individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

$107M

derived; firm RAUM over IAPD count

Employees

3 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

23 filings and snapshots on the tape

RAUM$215M as of May 5, 2026

Feb 15, 2017$215M then

HNW client RAUM$26.2M as of May 5, 2026

Mar 28, 2018$0 then

State-registered IARs (5.B.3)0 as of May 5, 2026

Feb 15, 20172 then

Employees (5.A)4 as of May 5, 2026

Feb 15, 20173 then

Private funds3 as of May 5, 2026

Feb 15, 20171 then

RAUM +23% over the last fiscal year+27% a year over threeIARs 0 to 0

Practice profile

derived from the filing of May 5, 2026; every figure names its basis

RAUM per advisor: $107MderivedRAUM over IAPD advisors; not a book size
Clients per advisor: 1derivedindividual and HNW clients (5.D) over advisors
Average HNW client: $26.2MderivedHNW RAUM over HNW clients
Average account: $53.6MderivedRAUM over accounts (5.F.2.f)
Discretionary: 88%derivedof RAUM
Institutional: 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: 2.0derivedItem 5.A over advisors
Advisors per office: 2.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year: +23%derivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: +0.0%derived
Compensation: percentage of assets, performance-basedreportedItem 5.E
Advisory activities: portfolio management for pooled vehiclesreportedItem 5.G
Custody: $188M, 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)
compensates persons for client referrals (8.G.1)
compensates non-employees for client referrals (8.G.2)
has custody of client cash or bank accounts (9.A.1.a)
has custody of client securities (9.A.1.b)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Pooled investment vehicles$188M88%
High-net-worth individuals$26.2M12%

Individual clients: 0reported
HNW clients: 1reported
Pension plan clients: 0reported
Charitable clients: 0reported
Accounts: 4reported
Financial planning clients: 0reported
Wrap fee programs: noreported
Custody of client assets: $188M for 3 clientsreported
Compensation: % of AUM, performancereported
Class basis: private_client_share=0.12 fund_share=0.88 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived

Advisors registered through the firm

2 on IAPD today, longest tenure first

Name	Branch	Here since	In industry	Prior firms
D••••• J••••• T•••••••	Walnut Creek, Ca	May 30, 2013	28 y	0
S••••• J•••• D•••••	Walnut Creek, Ca	May 30, 2013	34 y	2

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 headcount0 left over 36 months

Left, latest

none on the tape

Joined, latest

S••••• J•••• D••••• from H••••• • A••••• C•••••• M••••••••• I•••
May 30, 2013 · Other

Every departure Every arrival

Private funds

2 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
J••• P•••••••• L•••	Hedge Fund	$72.3M	65	Mar 28, 2012
J••• P••••••• I•• L•••	Hedge Fund	$15.3M	19	Mar 28, 2018

Owners and control persons

Schedule A and B, latest filing

D•••••• S•••••• J•••• · Managercontrol
since 10/2004 · owns 50% to 75%
M•••••• J••••••• A••• · Membercontrol
since 08/2020 · owns 10% to 25%
T•••••••• D•••••• J••••• · Chief Compliance Officercontrol
since 03/2011 · owns 10% to 25%

Related persons

Schedule D 7.A

No related person reported.

Office movement

IAPD branch city; joins and departures in 12 months

Office	Advisors	Joined	Left	Teams out	Forming
Walnut Creek, Ca · principal	2	0	0

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Assets in custody · $144M to $188M
Jun 6, 2025 to Mar 2, 2026
Discretionary RAUM · $144M to $188M
Jun 6, 2025 to Mar 2, 2026
HNW RAUM · $30.8M to $26.2M
Jun 6, 2025 to Mar 2, 2026
Non-discretionary RAUM · $30.8M to $26.2M
Jun 6, 2025 to Mar 2, 2026
Pooled vehicle RAUM · $144M to $188M
Jun 6, 2025 to Mar 2, 2026
RAUM · $174M to $215M
Jun 6, 2025 to Mar 2, 2026
Financial planning clients · 0 to 0
Apr 14, 2025 to Jun 6, 2025
Accounts · 3 to 4
Apr 1, 2024 to Apr 14, 2025
Pooled vehicle clients · 2 to 3
Apr 1, 2024 to Apr 14, 2025
Assets in custody · $87.6M to $144M
Apr 1, 2024 to Apr 14, 2025
Employees · 3 to 4
Apr 1, 2024 to Apr 14, 2025
Private funds · 2 to 3
Apr 1, 2024 to Apr 14, 2025
Discretionary RAUM · $87.6M to $144M
Apr 1, 2024 to Apr 14, 2025
HNW RAUM · $32.8M to $30.8M
Apr 1, 2024 to Apr 14, 2025
Non-discretionary RAUM · $32.8M to $30.8M
Apr 1, 2024 to Apr 14, 2025
Pooled vehicle RAUM · $87.6M to $144M
Apr 1, 2024 to Apr 14, 2025
RAUM · $120M to $174M
Apr 1, 2024 to Apr 14, 2025
Accounts · 2 to 3
Apr 4, 2023 to Apr 1, 2024
HNW clients · 0 to 1
Apr 4, 2023 to Apr 1, 2024
Assets in custody · $106M to $87.6M
Apr 4, 2023 to Apr 1, 2024
Discretionary RAUM · $106M to $87.6M
Apr 4, 2023 to Apr 1, 2024
HNW RAUM · $0 to $32.8M
Apr 4, 2023 to Apr 1, 2024
Non-discretionary RAUM · $0 to $32.8M
Apr 4, 2023 to Apr 1, 2024
Pooled vehicle RAUM · $106M to $87.6M
Apr 4, 2023 to Apr 1, 2024
RAUM · $106M to $120M
Apr 4, 2023 to Apr 1, 2024
Assets in custody · $147M to $106M
Sep 12, 2022 to Jan 27, 2023
Discretionary RAUM · $147M to $106M
Sep 12, 2022 to Jan 27, 2023
Pooled vehicle RAUM · $147M to $106M
Sep 12, 2022 to Jan 27, 2023
RAUM · $147M to $106M
Sep 12, 2022 to Jan 27, 2023
Assets in custody · $114M to $147M
Apr 12, 2021 to Mar 17, 2022
State-registered IARs · 2 to 0
Apr 12, 2021 to Mar 17, 2022
Discretionary RAUM · $114M to $147M
Apr 12, 2021 to Mar 17, 2022
Pooled vehicle RAUM · $114M to $147M
Apr 12, 2021 to Mar 17, 2022
RAUM · $114M to $147M
Apr 12, 2021 to Mar 17, 2022
Assets in custody · $188M to $114M
Oct 7, 2020 to Feb 24, 2021
Discretionary RAUM · $165M to $114M
Oct 7, 2020 to Feb 24, 2021
Pooled vehicle RAUM · $165M to $114M
Oct 7, 2020 to Feb 24, 2021
RAUM · $165M to $114M
Oct 7, 2020 to Feb 24, 2021
Discretionary RAUM · $188M to $165M
May 9, 2019 to Mar 25, 2020
Pooled vehicle RAUM · $188M to $165M
May 9, 2019 to Mar 25, 2020

Signals

3 dated events

Alan Jeffrey Miller (Member) appeared on Schedule A of J••• C••••••• L••
Oct 7, 2020 · Control person joined · fact
Paul Joseph Colmery (Member) no longer on Schedule A of J••• C••••••• L•• (listed 2020-05-07, absent 2020-10-07)
Oct 7, 2020 · Control person left · inference
J••• C••••••• L•• filed its initial SEC registration (Form ADV)
Feb 26, 2016 · First SEC registration · fact

Across DFX

shared identifiers only, never a name match

J••• C••••••• L•• · Independent Sponsors
shared crd · capital_provider
J••• C••••••• L•• · Private Equity
shared crd · organization

How to reach

public business contact points only, each with its source

Principal office phone: 925-954-7207reportedpublic record, Form ADV, May 5, 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: Other adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor: $107Mderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026