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•• A•••• M••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 166225SEC 801-77807IAPD
Latest filing Jun 30, 2020
First filing on the tape Mar 19, 2013 · 14 filings
RAUM
$42.7M
reported, Item 5.F
Discretionary
70%
of RAUM
Private clients
100%
$42.7M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$42.7M as of Apr 1, 2020
Mar 21, 2014$26.6M then
HNW client RAUM$42.7M as of Apr 1, 2020
Feb 1, 2019$24.5M then
State-registered IARs (5.B.3)0 as of Apr 1, 2020
Mar 21, 20140 then
Employees (5.A)4 as of Apr 1, 2020
Mar 21, 20143 then
Private funds1 as of Mar 30, 2018
Mar 21, 20141 then
RAUM +29% over the last fiscal year+11% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 30, 2020; 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
$7.1MderivedHNW RAUM over HNW clients
Average account
$7.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
70%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+29%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, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, selection of other advisersreportedItem 5.G
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$42.7M100%
Individual clients
n/areported
HNW clients
6reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
6reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A•••• L•••••••• U• E••••• F••• L•no longer reportedOther Private Fund$19.3M5Mar 19, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • P••••••• G•••••••• A••••• · Chief Executive Officercontrol
        since 10/2012 · owns 25% to 50%
      • P••••••• J••••••••• · Chairman Of The Boardcontrol
        since 10/2012 · owns 50% to 75%
      • W••••••• M••••••• J• · Chief Compliance Officercontrol
        since 02/2019 · owns less than 5%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 5 to 6
        Mar 4, 2019 to Apr 1, 2020
      • Advisory activities · 3 to 2
        Mar 4, 2019 to Apr 1, 2020
      • HNW clients · 5 to 6
        Mar 4, 2019 to Apr 1, 2020
      • Pooled vehicle clients · 1.0 to unset
        Mar 4, 2019 to Apr 1, 2020
      • Discretionary RAUM · $11.4M to $29.8M
        Mar 4, 2019 to Apr 1, 2020
      • HNW RAUM · $24.5M to $42.7M
        Mar 4, 2019 to Apr 1, 2020
      • Non-discretionary RAUM · $21.6M to $12.9M
        Mar 4, 2019 to Apr 1, 2020
      • Pooled vehicle RAUM · 8495453.0 to unset
        Mar 4, 2019 to Apr 1, 2020
      • RAUM · $33.0M to $42.7M
        Mar 4, 2019 to Apr 1, 2020
      • Accounts · 3 to 5
        Mar 30, 2018 to Feb 1, 2019
      • Advisory employees · 3 to 4
        Mar 30, 2018 to Feb 1, 2019
      • HNW clients · unset to 5.0
        Mar 30, 2018 to Feb 1, 2019
      • Pooled vehicle clients · 3 to 1
        Mar 30, 2018 to Feb 1, 2019
      • Employees · 3 to 4
        Mar 30, 2018 to Feb 1, 2019
      • Private funds · 1 to unset
        Mar 30, 2018 to Feb 1, 2019
      • Discretionary RAUM · $35.5M to $11.4M
        Mar 30, 2018 to Feb 1, 2019
      • HNW RAUM · unset to 24474729.0
        Mar 30, 2018 to Feb 1, 2019
      • Non-discretionary RAUM · $0 to $21.6M
        Mar 30, 2018 to Feb 1, 2019
      • Pooled vehicle RAUM · $35.5M to $8.5M
        Mar 30, 2018 to Feb 1, 2019
      • RAUM · $35.5M to $33.0M
        Mar 30, 2018 to Feb 1, 2019
      • Pooled vehicle clients · unset to 3.0
        Apr 1, 2017 to Mar 30, 2018
      • Other offices · unset to 0.0
        Apr 1, 2017 to Mar 30, 2018
      • Discretionary RAUM · $30.8M to $35.5M
        Apr 1, 2017 to Mar 30, 2018
      • Pooled vehicle RAUM · unset to 35507239.0
        Apr 1, 2017 to Mar 30, 2018
      • RAUM · $30.8M to $35.5M
        Apr 1, 2017 to Mar 30, 2018
      • Advisory employees · 4 to 3
        Jul 6, 2016 to Apr 1, 2017
      • Employees · 4 to 3
        Jul 6, 2016 to Apr 1, 2017
      • Discretionary RAUM · $33.2M to $30.8M
        Jul 6, 2016 to Apr 1, 2017
      • RAUM · $33.2M to $30.8M
        Jul 6, 2016 to Apr 1, 2017
      • Discretionary RAUM · $34.3M to $33.2M
        Mar 27, 2015 to Mar 29, 2016
      • RAUM · $34.3M to $33.2M
        Mar 27, 2015 to Mar 29, 2016
      • Accounts · 2 to 3
        Aug 29, 2014 to Mar 27, 2015
      • Advisory employees · 3 to 4
        Aug 29, 2014 to Mar 27, 2015
      • Advisory activities · 2 to 3
        Aug 29, 2014 to Mar 27, 2015
      • Employees · 3 to 4
        Aug 29, 2014 to Mar 27, 2015
      • Discretionary RAUM · $31.3M to $34.3M
        Aug 29, 2014 to Mar 27, 2015
      • RAUM · $31.3M to $34.3M
        Aug 29, 2014 to Mar 27, 2015
      • Accounts · 1 to 2
        Mar 21, 2014 to Aug 29, 2014
      • Discretionary RAUM · $26.6M to $31.3M
        Mar 21, 2014 to Aug 29, 2014
      • RAUM · $26.6M to $31.3M
        Mar 21, 2014 to Aug 29, 2014
      Signals
      3 dated events
      • J Michael Waldron (Chief Compliance Officer) appeared on Schedule A of J•• A•••• M••••••••• L••
        Mar 4, 2019 · Control person joined · fact
      • T••••• S•••••• (Chief Compliance Officer) no longer on Schedule A of J•• A•••• M••••••••• L•• (listed 2019-02-01, absent 2019-03-04)
        Mar 4, 2019 · Control person left · inference
      • J•• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Mar 19, 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