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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SEC-registered adviser
J•••• •••• I••
Latest filing Sep 29, 2025
First filing on the tape May 14, 2013 · 38 filings
SEC status approved since Jun 10, 2013
RAUM
$9.0B
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
60
21 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
8
reported on Schedule D
History
38 filings and snapshots on the tape
RAUM$9.0B as of Sep 29, 2025
Jan 2, 2014$53.5M then
HNW client RAUM$0 as of Dec 20, 2023
Dec 26, 2017$0 then
State-registered IARs (5.B.3)0 as of Sep 29, 2025
Jan 2, 20140 then
Employees (5.A)60 as of Sep 29, 2025
Jan 2, 20142 then
Private funds8 as of Sep 29, 2025
Dec 10, 20145 then
RAUM -3.6% over the last fiscal year-19% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Sep 29, 2025; 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
- $282MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.5%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
- +9.6%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 businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, selection of other advisersreportedItem 5.G
- Custody
- $1.9B, 8 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$6.5B73%
- Pooled investment vehicles$2.3B26%
- Pension and profit-sharing plans$139M1.5%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 1reported
- Charitable clients
- 0reported
- Accounts
- 32reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.9B for 8 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.98 institutional_share=0.02 related_bd=false related_bank=false bd_reps=13.0derived
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
12 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| R•••• C•••• I••••••••• S••••• F••• •••• | Hedge Fund | $1.0B | 54 | Feb 29, 2012 |
| T••• I••••••••• S•••• C•• E••••• F••• •••• | Other Private Fund | $233M | 21 | Mar 28, 2013 |
| R•••• C•••• G••••• E••••••• M•••••• O••••••••• F••• •••• | Hedge Fund | $220M | 37 | Dec 10, 2014 |
| R•••• C•••• G••••• S••••• F••• | Hedge Fund | $175M | 19 | Dec 24, 2020 |
| T••• I••••••••• L•••• C•• E••••• F••• •••• | Other Private Fund | $132M | 10 | Mar 31, 2017 |
| R•••• C•••• E••••••• M•••••• S•••• C•• F••• •••• | Hedge Fund | $78.1M | 3 | Dec 10, 2014 |
| T••• S••• C•• E••••• F••• •••• | Other Private Fund | $60.0M | 1 | Mar 28, 2019 |
| R•••• C•••• F•••••• E••••• E••••• F••• ••••no longer reported | Hedge Fund | $53.5M | 3 | Aug 5, 2015 |
| R•••• C•••• G••••• O••••••••• F••• •••• | Hedge Fund | $51.1M | 5 | Aug 5, 2015 |
| R•••• C•••• I••••••••• S•••••• C•••••••• F••• ••••no longer reported | Hedge Fund | $11.9M | 3 | Dec 10, 2014 |
| R•••• C•••• U• S•••• M•••••• E••••• F••• ••••no longer reported | Hedge Fund | $1.6M | 5 | Dec 10, 2014 |
| R•••• C•••• A••• E• J•••• S•••• A•• M•• C•• F••• ••••no longer reported | Hedge Fund | $0 | 0 | Aug 5, 2015 |
Owners and control persons
Schedule A and B, latest filing
- J••••• A•••••• J••••• · Chief Compliance Officercontrolsince 03/2021 · owns less than 5%
- L• P••••• A••••• J•• · Directorcontrolsince 06/2023 · owns less than 5%
- W••••• J•••••••• P••• · Director/Chief Operating Officercontrolsince 12/2016 · owns less than 5%
Entity owners
- P••••• U•• I••• · Holding Companydirect · owns 75% or more
- P••••• G•••• L•••••• · 100% Ownership Holding Companyindirect · owns 75% or more of P••••• U•• I•••
- P•••••••• A••••••••• C•••••• L•••••• · 100% Ownership Holding Companyindirect · owns 75% or more of P••••• G•••• L••••••
- P•••••••• L•••••• · 100% Ownership Parent Companyindirect · owns 75% or more of P•••••••• A••••••••• C•••••• L••••••
Related persons
Schedule D 7.A
- B••••• H••••• G••••• I••••••••investment advisernRAUM $59B
- J• O• H••••• C•••••• M••••••••• L••••••investment adviseryRAUM $23B
- J•••• ••••••••• P•• L••investment advisern
- J•••• F•••• ••• L••••••pooled vehicle sponsorn
- P••••• G•••• L••••••investment advisery
- P••••• I••••••••• L••••••investment advisern
- P•••••••• I••••••••• M••••••••• L••••••investment advisern
- P•••••••• I••••••••• S••••••• E••••• L••••••pooled vehicle sponsorn
- P•••••••• L••••••investment advisery
- P•••investment advisern
- T••••••• S••••• • W••••••• L••investment adviserpooled vehicle sponsornRAUM $21B
- T••••••• A•••• M•••••••••investment advisernRAUM $4.3B
Advisers that list J•••• •••• I•• as a related person
Offices
Schedule D 1.F, the 25 largest
- New York, NY2 employees
What changed
consecutive filings, newest first
- Accounts · 26 to 32Dec 19, 2024 to Sep 29, 2025
- Advisory employees · 31 to 21Dec 19, 2024 to Sep 29, 2025
- BD registered reps · 11 to 13Dec 19, 2024 to Sep 29, 2025
- Assets in custody · $2.0B to $1.9BDec 19, 2024 to Sep 29, 2025
- Employees · 57 to 60Dec 19, 2024 to Sep 29, 2025
- Financial planning clients · unset to Dec 19, 2024 to Sep 29, 2025
- Discretionary RAUM · $10B to $9.0BDec 19, 2024 to Sep 29, 2025
- Pension RAUM · $100M to $139MDec 19, 2024 to Sep 29, 2025
- Pooled vehicle RAUM · $2.3B to $2.3BDec 19, 2024 to Sep 29, 2025
- RAUM · $10B to $9.0BDec 19, 2024 to Sep 29, 2025
- Accounts · 23 to 26Apr 24, 2024 to Sep 28, 2024
- Advisory employees · 29 to 31Apr 24, 2024 to Sep 28, 2024
- BD registered reps · 8 to 11Apr 24, 2024 to Sep 28, 2024
- Assets in custody · $1.9B to $2.0BApr 24, 2024 to Sep 28, 2024
- Discretionary RAUM · $9.3B to $10BApr 24, 2024 to Sep 28, 2024
- HNW RAUM · 0.0 to unsetApr 24, 2024 to Sep 28, 2024
- Individual RAUM · 0.0 to unsetApr 24, 2024 to Sep 28, 2024
- Pension RAUM · $80.4M to $100MApr 24, 2024 to Sep 28, 2024
- Pooled vehicle RAUM · $2.3B to $2.3BApr 24, 2024 to Sep 28, 2024
- RAUM · $9.3B to $10BApr 24, 2024 to Sep 28, 2024
- Accounts · 26 to 23Aug 7, 2023 to Dec 20, 2023
- Advisory employees · 34 to 29Aug 7, 2023 to Dec 20, 2023
- Advisory activities · 3 to 4Aug 7, 2023 to Dec 20, 2023
- Pension plan clients · 0 to 1Aug 7, 2023 to Dec 20, 2023
- Assets in custody · $1.7B to $1.9BAug 7, 2023 to Dec 20, 2023
- Employees · 68 to 57Aug 7, 2023 to Dec 20, 2023
- Discretionary RAUM · $11B to $9.3BAug 7, 2023 to Dec 20, 2023
- Pension RAUM · $0 to $80.4MAug 7, 2023 to Dec 20, 2023
- Pooled vehicle RAUM · $2.0B to $2.3BAug 7, 2023 to Dec 20, 2023
- RAUM · $11B to $9.3BAug 7, 2023 to Dec 20, 2023
- Accounts · 17 to 26Dec 19, 2021 to Dec 21, 2022
- Advisory employees · 33 to 34Dec 19, 2021 to Dec 21, 2022
- BD registered reps · 14 to 8Dec 19, 2021 to Dec 21, 2022
- Pooled vehicle clients · 8 to 10Dec 19, 2021 to Dec 21, 2022
- Assets in custody · $2.0B to $1.7BDec 19, 2021 to Dec 21, 2022
- Employees · 42 to 68Dec 19, 2021 to Dec 21, 2022
- Private funds · 6 to 8Dec 19, 2021 to Dec 21, 2022
- Discretionary RAUM · $17B to $11BDec 19, 2021 to Dec 21, 2022
- Pooled vehicle RAUM · $2.4B to $2.0BDec 19, 2021 to Dec 21, 2022
- RAUM · $17B to $11BDec 19, 2021 to Dec 21, 2022
Signals
21 dated events
- R. Gene Janvier (Director And Head Of Distribution, Americas) no longer on Schedule A of J•••• •••• I•• (listed 2024-09-28, absent 2024-12-19)Dec 19, 2024 · Control person left · inference
- Jay A••• Lo P•••• (Director) appeared on Schedule A of J•••• •••• I••Aug 7, 2023 · Control person joined · fact
- R. Gene Janvier (Director And Head Of Distribution, Americas) appeared on Schedule A of J•••• •••• I••Aug 7, 2023 · Control person joined · fact
- Andrew David Lane (Director/Chief Executive Officer) no longer on Schedule A of J•••• •••• I•• (listed 2023-02-22, absent 2023-08-07)Aug 7, 2023 · Control person left · inference
- Mark Christopher Jones (Director) no longer on Schedule A of J•••• •••• I•• (listed 2023-02-22, absent 2023-08-07)Aug 7, 2023 · Control person left · inference
- Craven Scott Jones (Director) no longer on Schedule A of J•••• •••• I•• (listed 2023-02-22, absent 2023-08-07)Aug 7, 2023 · Control person left · inference
- Andrew David Lane (Director/Chief Executive Officer) appeared on Schedule A of J•••• •••• I••Feb 22, 2023 · Control person joined · fact
- Mark Christopher Jones (Director) appeared on Schedule A of J•••• •••• I••Feb 22, 2023 · Control person joined · fact
- M•••••• W••••••• N••••••• G••• (Director) no longer on Schedule A of J•••• •••• I•• (listed 2022-12-21, absent 2023-02-22)Feb 22, 2023 · Control person left · inference
- Lawrence John Reifsnider (Director/Chief Executive Officer) no longer on Schedule A of J•••• •••• I•• (listed 2022-12-21, absent 2023-02-22)Feb 22, 2023 · Control person left · inference
- M•••••• Joseph Vancaster (Director/Treasurer) no longer on Schedule A of J•••• •••• I•• (listed 2022-12-21, absent 2023-02-22)Feb 22, 2023 · Control person left · inference
- M•••••• Joseph Vancaster (Director/Treasurer) appeared on Schedule A of J•••• •••• I••Dec 21, 2022 · Control person joined · fact
- J•••• •••• I•• reported RAUM $11.0B, down 36% from $17.2B (2021-12-19 to 2022-12-21)Dec 21, 2022 · RAUM change · derived
- J•••• •••• I•• reported RAUM $17.2B, up 687% from $2.2B (2021-08-19 to 2021-12-17)Dec 17, 2021 · RAUM change · derived
- Lawrence John Reifsnider (Chief Executive Officer) appeared on Schedule A of J•••• •••• I••Aug 19, 2021 · Control person joined · fact
- Emilio Gonzalez (Director) no longer on Schedule A of J•••• •••• I•• (listed 2020-12-24, absent 2021-05-11)May 11, 2021 · Control person left · inference
- Kelly Christina Grove (Chief Compliance Officer) no longer on Schedule A of J•••• •••• I•• (listed 2020-12-24, absent 2021-05-11)May 11, 2021 · Control person left · inference
- Joshua Andrew Jolin (Chief Compliance Officer) appeared on Schedule A of J•••• •••• I••May 11, 2021 · Control person joined · fact
- M•••••• W••••••• N••••••• G••• (Chief Executive Officer) appeared on Schedule A of J•••• •••• I••Dec 20, 2019 · Control person joined · fact
- Helen Margret Vaughan (Director/Executive Vice President) no longer on Schedule A of J•••• •••• I•• (listed 2018-12-20, absent 2019-07-15)Jul 15, 2019 · Control person left · inference
- J•••• •••• I•• filed its initial SEC registration (Form ADV)May 14, 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.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/j-o-hambro-capital-managementreportedpublic record, Form ADV, Sep 18, 2026
- Website
- johcm.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 617-993-0701reportedpublic record, Form ADV, Sep 29, 2025
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
- Asset manager (funds and pooled vehicles)deriveda 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