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•••••• S••••• P•••••••• L••
Latest filing Mar 24, 2025
First filing on the tape Feb 19, 2014 · 31 filings
SEC status approved since Feb 24, 2014
RAUM
$995M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.1%
$1.1M 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
1
beyond the principal office
Private funds
1
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$995M as of Mar 24, 2025
Mar 26, 2015$28B then
HNW client RAUM$1.1M as of Mar 24, 2025
Mar 28, 2018$140M then
State-registered IARs (5.B.3)0 as of Mar 24, 2025
Mar 26, 20150 then
Employees (5.A)4 as of Mar 24, 2025
Mar 26, 201519 then
Private funds1 as of Mar 24, 2025
Mar 16, 20211 then
RAUM -68% over the last fiscal year-57% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 24, 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
- $90.5MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 56%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
- -68%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 individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
- Custody
- $41.5M, 1 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- 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)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$380M38%
- State and municipal entities$350M35%
- Pension and profit-sharing plans$189M19%
- Pooled investment vehicles$52.7M5.3%
- Charitable organizations$22.0M2.2%
- High-net-worth individuals$1.1M0.1%
- Individual clients
- 0reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 11reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $41.5M for 1 clientsreported
- Compensation
- % of AUM, performancereported
- 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
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| J•••••• S••••• P••••••• S•••••••• O••••••••• F•••• L••• | Hedge Fund | $121M | 24 | Mar 16, 2021 |
| J•••••• S••••• P••••••• G••••• G••••• F•••• L••• | Hedge Fund | $1.7M | 11 | Mar 25, 2022 |
Owners and control persons
Schedule A and B, latest filing
- B••••• K••••••• F•••••• · Member Of Board Of Directors, Chairmancontrolsince 01/2023 · owns less than 5%
- E•••••••• C••••••••• M••••• · Managing Partner And Chief Financial Officercontrolsince 01/2024 · owns less than 5%
- F••••• I••• D••••• · Member Of Board Of Directors, Chief Investment Officercontrolsince 01/2023 · owns less than 5%
- K••••••• S••• · Chief Compliance Officercontrolsince 09/2015 · owns less than 5%
- V•• H••••• J••••••• S•••••• · Member Of Board Of Directorscontrolsince 12/2013 · owns less than 5%
Entity owners
- C••••••••• S••••• P•••••••• L• · Memberdirect · owns 50% to 75%
- A••••••••• M••••••• G••••• I••• · Memberindirect · owns 75% or more of J•• A••••••••• L•• · public reporting company
- C••••••••• S••••• P••••••• G•• L•• · General Partnerindirect · owns F of C••••••••• S••••• P•••••••• L•
- J•• A••••••••• L•• · Memberdirect · owns 10% to 25%
Related persons
Schedule D 7.A
No related person reported.
Advisers that list J•••••• S••••• P•••••••• L•• as a related person
- 153456 n
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 25 to 11Aug 1, 2024 to Mar 24, 2025
- Advisory employees · 8 to 4Aug 1, 2024 to Mar 24, 2025
- BD registered reps · 2 to 0Aug 1, 2024 to Mar 24, 2025
- Pension plan clients · 7.0 to unsetAug 1, 2024 to Mar 24, 2025
- Pooled vehicle clients · 7 to 3Aug 1, 2024 to Mar 24, 2025
- Assets in custody · $122M to $41.5MAug 1, 2024 to Mar 24, 2025
- Employees · 20 to 4Aug 1, 2024 to Mar 24, 2025
- Financial planning clients · unset to Aug 1, 2024 to Mar 24, 2025
- Private funds · 2 to 1Aug 1, 2024 to Mar 24, 2025
- Discretionary RAUM · $3.1B to $995MAug 1, 2024 to Mar 24, 2025
- HNW RAUM · $1.7M to $1.1MAug 1, 2024 to Mar 24, 2025
- Pension RAUM · $467M to $189MAug 1, 2024 to Mar 24, 2025
- Pooled vehicle RAUM · $882M to $52.7MAug 1, 2024 to Mar 24, 2025
- RAUM · $3.1B to $995MAug 1, 2024 to Mar 24, 2025
- HQ city · SAN FRANCISCO to LARKSPURMar 28, 2024 to Aug 1, 2024
- Accounts · 33 to 25Apr 20, 2023 to Mar 28, 2024
- Advisory employees · 12 to 8Apr 20, 2023 to Mar 28, 2024
- Advisory activities · 5 to 4Apr 20, 2023 to Mar 28, 2024
- BD registered reps · 3 to 2Apr 20, 2023 to Mar 28, 2024
- Pension plan clients · 11 to 7Apr 20, 2023 to Mar 28, 2024
- Pooled vehicle clients · 8 to 7Apr 20, 2023 to Mar 28, 2024
- Assets in custody · $119M to $122MApr 20, 2023 to Mar 28, 2024
- Employees · 25 to 20Apr 20, 2023 to Mar 28, 2024
- Discretionary RAUM · $3.8B to $3.1BApr 20, 2023 to Mar 28, 2024
- HNW RAUM · $2.1M to $1.7MApr 20, 2023 to Mar 28, 2024
- Pension RAUM · $864M to $467MApr 20, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $994M to $882MApr 20, 2023 to Mar 28, 2024
- RAUM · $3.8B to $3.1BApr 20, 2023 to Mar 28, 2024
- Accounts · 45 to 33Mar 31, 2022 to Mar 30, 2023
- Advisory employees · 13 to 12Mar 31, 2022 to Mar 30, 2023
- BD registered reps · 4 to 3Mar 31, 2022 to Mar 30, 2023
- Pension plan clients · 19 to 11Mar 31, 2022 to Mar 30, 2023
- Pooled vehicle clients · 10 to 8Mar 31, 2022 to Mar 30, 2023
- Assets in custody · $107M to $119MMar 31, 2022 to Mar 30, 2023
- Employees · 31 to 25Mar 31, 2022 to Mar 30, 2023
- Discretionary RAUM · $12B to $3.8BMar 31, 2022 to Mar 30, 2023
- HNW RAUM · $30.7M to $2.1MMar 31, 2022 to Mar 30, 2023
- Pension RAUM · $5.6B to $864MMar 31, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $1.7B to $994MMar 31, 2022 to Mar 30, 2023
- RAUM · $12B to $3.8BMar 31, 2022 to Mar 30, 2023
Signals
12 dated events
- J•••••• S••••• P•••••••• L•• no longer on the SEC adviser roster (last listed 2025-12-20, RAUM $995.1M)Jan 2, 2026 · Left the SEC roster · derived
- J•••••• S••••• P•••••••• L•• reported RAUM $995.1M, down 68% from $3.1B (2024-08-01 to 2025-03-24)Mar 24, 2025 · RAUM change · derived
- Martin Christopher Ericksen (Managing Partner And Chief Financial Officer) appeared on Schedule A of J•••••• S••••• P•••••••• L••Mar 28, 2024 · Control person joined · fact
- Van Tran (Chief Financial Officer And Head Of Culture And Diversity) no longer on Schedule A of J•••••• S••••• P•••••••• L•• (listed 2023-04-20, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- Daniel Ian Ferry (Member Of Board Of Directors, Co-Chief Investment Officer) appeared on Schedule A of J•••••• S••••• P•••••••• L••Mar 30, 2023 · Control person joined · fact
- Farnham Kenneth Broad (Member Of Board Of Directors, Co-Chairman) appeared on Schedule A of J•••••• S••••• P•••••••• L••Mar 30, 2023 · Control person joined · fact
- J•••••• S••••• P•••••••• L•• reported RAUM $3.8B, down 69% from $12.3B (2022-03-31 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- Jay Kevin Brown (Member Of Board Of Directors, Managing Partner) no longer on Schedule A of J•••••• S••••• P•••••••• L•• (listed 2022-03-31, absent 2023-03-30)Mar 30, 2023 · Control person left · inference
- Jay Daniel Prislin (Member Of Board Of Directors) no longer on Schedule A of J•••••• S••••• P•••••••• L•• (listed 2022-03-31, absent 2023-03-30)Mar 30, 2023 · Control person left · inference
- J•••••• S••••• P•••••••• L•• reported RAUM $12.3B, down 52% from $25.5B (2021-10-21 to 2022-03-25)Mar 25, 2022 · RAUM change · derived
- J•••••• S••••• P•••••••• L•• reported RAUM $25.5B, up 28% from $19.9B (2020-12-08 to 2021-03-16)Mar 16, 2021 · RAUM change · derived
- J•••••• S••••• P•••••••• L•• filed its initial SEC registration (Form ADV)Feb 19, 2014 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- J•••••• S••••• P•••••••• L•• · Family Officesshared crd · office
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