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•• I••••••••• P•••••••• L••

Former SEC-registered adviserCharleston, South CarolinaCRD 165294SEC 801-78137IAPD
Latest filing May 17, 2021
First filing on the tape May 24, 2013 · 24 filings
RAUM
$646M
reported, Item 5.F
Discretionary
93%
of RAUM
Private clients
91%
$590M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$646M as of Mar 25, 2021
Mar 29, 2014$122M then
HNW client RAUM$543M as of Mar 25, 2021
Mar 21, 2018$506M then
State-registered IARs (5.B.3)2 as of Mar 25, 2021
Mar 29, 20141 then
Employees (5.A)4 as of Mar 25, 2021
Mar 29, 20141 then
Private funds: no history
RAUM +9.6% over the last fiscal year+8.5% a year over threeIARs 2 to 2
Practice profile
derived from the filing of May 17, 2021; every figure names its basis
RAUM per advisor
$323MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
134derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$4.1MderivedHNW RAUM over HNW clients
Average account
$518,599derivedRAUM over accounts (5.F.2.f)
Discretionary
93%derivedof RAUM
Institutional
8.8%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
+9.6%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, educational seminarsreportedItem 5.G
Custody
$65.9M, 44 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
  • High-net-worth individuals$543M84%
  • Pension and profit-sharing plans$55.5M8.6%
  • Individuals$46.5M7.2%
  • Charitable organizations$1.1M0.2%
Individual clients
137reported
HNW clients
131reported
Pension plan clients
17reported
Charitable clients
2reported
Accounts
1,246reported
Financial planning clients
251-500reported
Wrap fee programs
noreported
Custody of client assets
$65.9M for 44 clientsreported
Compensation
% of AUM, fixedreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • E•••••• M•••••• S•••• · Owner/Chief Compliance Officercontrol
    since 09/2014 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Advisers that list J•• I••••••••• P•••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 1,181 to 1,246
    Jun 26, 2020 to Mar 25, 2021
  • Advisory employees · 4 to 2
    Jun 26, 2020 to Mar 25, 2021
  • Charity clients · 1 to 2
    Jun 26, 2020 to Mar 25, 2021
  • HNW clients · 264 to 131
    Jun 26, 2020 to Mar 25, 2021
  • Individual clients · unset to 137.0
    Jun 26, 2020 to Mar 25, 2021
  • Pension plan clients · unset to 17.0
    Jun 26, 2020 to Mar 25, 2021
  • Assets in custody · unset to 65923595.0
    Jun 26, 2020 to Mar 25, 2021
  • Custody of client assets · false to true
    Jun 26, 2020 to Mar 25, 2021
  • Employees · 5 to 4
    Jun 26, 2020 to Mar 25, 2021
  • Discretionary RAUM · $540M to $603M
    Jun 26, 2020 to Mar 25, 2021
  • HNW RAUM · $588M to $543M
    Jun 26, 2020 to Mar 25, 2021
  • Individual RAUM · unset to 46541459.0
    Jun 26, 2020 to Mar 25, 2021
  • Non-discretionary RAUM · $49.3M to $43.2M
    Jun 26, 2020 to Mar 25, 2021
  • Pension RAUM · unset to 55498076.0
    Jun 26, 2020 to Mar 25, 2021
  • RAUM · $589M to $646M
    Jun 26, 2020 to Mar 25, 2021
  • Related adviser · true to false
    Jun 26, 2020 to Mar 25, 2021
  • Accounts · 1,231 to 1,181
    Mar 28, 2019 to Mar 27, 2020
  • Advisory employees · 1 to 4
    Mar 28, 2019 to Mar 27, 2020
  • Charity clients · unset to 1.0
    Mar 28, 2019 to Mar 27, 2020
  • HNW clients · 240 to 264
    Mar 28, 2019 to Mar 27, 2020
  • Employees · 3 to 5
    Mar 28, 2019 to Mar 27, 2020
  • Insurance-licensed employees · 1 to 0
    Mar 28, 2019 to Mar 27, 2020
  • Financial planning clients · 101-250 to 251-500
    Mar 28, 2019 to Mar 27, 2020
  • State-registered IARs · 1 to 2
    Mar 28, 2019 to Mar 27, 2020
  • Discretionary RAUM · $464M to $540M
    Mar 28, 2019 to Mar 27, 2020
  • HNW RAUM · $513M to $588M
    Mar 28, 2019 to Mar 27, 2020
  • Non-discretionary RAUM · $49.7M to $49.3M
    Mar 28, 2019 to Mar 27, 2020
  • RAUM · $513M to $589M
    Mar 28, 2019 to Mar 27, 2020
  • Accounts · 1,622 to 1,231
    Mar 21, 2018 to Mar 28, 2019
  • Advisory employees · 2 to 1
    Mar 21, 2018 to Mar 28, 2019
  • HNW clients · 216 to 240
    Mar 21, 2018 to Mar 28, 2019
  • Employees · 4 to 3
    Mar 21, 2018 to Mar 28, 2019
  • Financial planning clients · 51-100 to 101-250
    Mar 21, 2018 to Mar 28, 2019
  • State-registered IARs · 2 to 1
    Mar 21, 2018 to Mar 28, 2019
  • Discretionary RAUM · $450M to $464M
    Mar 21, 2018 to Mar 28, 2019
  • HNW RAUM · $506M to $513M
    Mar 21, 2018 to Mar 28, 2019
  • Non-discretionary RAUM · $56.0M to $49.7M
    Mar 21, 2018 to Mar 28, 2019
  • RAUM · $506M to $513M
    Mar 21, 2018 to Mar 28, 2019
  • Accounts · 1,187 to 1,622
    Mar 8, 2017 to Mar 21, 2018
  • Advisory employees · 4 to 2
    Mar 8, 2017 to Mar 21, 2018
Signals
3 dated events
  • M••••• S•••• E••••• left J•• I••••••••• P•••••••• L•• for C••••••• P••••••• (registered 2022-01-12)
    Mar 24, 2022 · a•••••• firm change · fact
  • C•••••••• A••• M••••• left J•• I••••••••• P•••••••• L•• for C••••••• P••••••• (registered 2022-01-04)
    Jan 4, 2022 · a•••••• firm change · fact
  • J•• I••••••••• P•••••••• L•• filed its initial SEC registration (Form ADV)
    May 24, 2013 · First SEC registration · fact
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