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• C•••••• R•••••••

Former SEC-registered adviserHong Kong, CRD 165324SEC 801-77421IAPD
Legal name J• C•••••• R••••••• L••••••
Latest filing Mar 6, 2018
First filing on the tape Nov 27, 2012 · 7 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$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
4 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 6, 2018
Mar 26, 20140 then
Employees (5.A)7 as of Mar 6, 2018
Mar 26, 201416 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 6, 2018; 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived5 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
subscription, otherreportedItem 5.E
Advisory activities
publications, otherreportedItem 5.G
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
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
n/areported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • D•••• C•••• R• · Shareholdercontrol
        since 04/2011 · owns 25% to 50%
      • M•••••• T••••••• P•••••• · Managing Partner, Responsible Officer And Directorcontrol
        since 06/2010 · owns 10% to 25%
      • S••••••••• A•••• K•••••••• · Partner, Head Of R•••••••, Responsible Officer And Directorcontrol
        since 06/2010 · owns 25% to 50%
      • L••••••••• M•••••• K•••• · Shareholder
        since 04/2015 · owns 5% to 10%
      • T•••• G•••••• · Finance Manager
        since 06/2010 · owns less than 5%
      Related persons
      Schedule D 7.A
      Advisers that list J• C•••••• R••••••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Westbrook, CT1 employees
      • B••••••, China1 employees
      • , 1 employees
      What changed
      consecutive filings, newest first
      • Advisory employees · 9 to 4
        Mar 8, 2017 to Mar 6, 2018
      • Employees · 13 to 7
        Mar 8, 2017 to Mar 6, 2018
      • Other offices · unset to 4.0
        Mar 8, 2017 to Mar 6, 2018
      • Advisory employees · 11 to 9
        Mar 23, 2016 to Mar 8, 2017
      • Employees · 15 to 13
        Mar 23, 2016 to Mar 8, 2017
      • Advisory employees · 10 to 11
        Mar 30, 2015 to Mar 23, 2016
      • Employees · 14 to 15
        Mar 30, 2015 to Mar 23, 2016
      • Advisory employees · 9 to 10
        Mar 26, 2014 to Mar 30, 2015
      • Employees · 16 to 14
        Mar 26, 2014 to Mar 30, 2015
      • Advisory employees · 8 to 9
        Sep 19, 2013 to Mar 26, 2014
      • Advisory employees · 6 to 8
        Nov 27, 2012 to Sep 19, 2013
      • Employees · 10 to 16
        Nov 27, 2012 to Sep 19, 2013
      Signals
      1 dated events
      • J• C•••••• R••••••• filed its initial SEC registration (Form ADV)
        Nov 27, 2012 · 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