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•• C•••••• L•••••

Former SEC-registered adviserOak Brook, IllinoisCRD 170207SEC 801-79244IAPD
Latest filing Jul 22, 2024
First filing on the tape Feb 17, 2014 · 23 filings
SEC status approved since Feb 24, 2014
RAUM
$1.5B
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
7
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$1.5B as of Mar 15, 2024
Mar 20, 2015$383M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 15, 2024
Mar 20, 20150 then
Employees (5.A)7 as of Mar 15, 2024
Mar 20, 20158 then
Private funds8 as of Mar 28, 2019
Mar 20, 20156 then
RAUM +13% over the last fiscal year+17% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 22, 2024; 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
$211MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%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
+13%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
performance-based, commissions, otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 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
  • is a broker-dealer (6.A.1)
  • has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$1.5B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
7reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
performance, commissionsreported
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
      10 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      J•• M••••••••• P•••••• F••• I•• L••no longer reportedReal Estate Fund$260M104Mar 29, 2017
      J•• R••••• A•••••••• F••• I•• L••no longer reportedReal Estate Fund$123M212Nov 4, 2014
      J•• M••••••••• P•••••• F••• I••• L••no longer reportedReal Estate Fund$115M63Mar 28, 2019
      J•• R••••• A•••••••• F••• 6• L••no longer reportedReal Estate Fund$101M143Mar 29, 2017
      J•• R••••• A•••••••• F••• 7• L••no longer reportedReal Estate Fund$80.2M62Mar 29, 2018
      J•• R••••• A•••••••• F••• I• L••no longer reportedReal Estate Fund$74.8M141Nov 4, 2014
      J•• R••••• A•••••••• F••• 5• L••no longer reportedReal Estate Fund$64.5M146Nov 4, 2014
      J•• M••••••••• P•••••• F•••• L••no longer reportedReal Estate Fund$53.2M49Nov 4, 2014
      J•• R••••• A•••••••• F••• I•• L••no longer reportedPrivate Equity Fund$49.0M116Nov 4, 2014
      J•• R••••• K••• A•••••••• F•••• L••no longer reportedReal Estate Fund$35.5M186Nov 4, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • B•••• M••• S• · Director Of Investor Relationscontrol
        since 11/2013 · owns less than 5%
      • M••••• I•• J••••• V• · President, Ceo, Elected M•••••• And Membercontrol
        since 11/2013 · owns 75% or more
      • M••••• S•••••• J• · Ciocontrol
        since 11/2013 · owns less than 5%
      • P•••••• J••••• D• · Chief Compliance Officer
        since 05/2024 · owns less than 5%
      Related persons
      Schedule D 7.A
      • J•• M••••••••• P•••••• F••• I•• L••
        pooled vehicle sponsorn
      • J•• M••••••••• P•••••• F••• I••• L••
        pooled vehicle sponsorn
      • J•• M••••••••• P•••••• F••• I•• L••
        pooled vehicle sponsorn
      • J•• R••••• A•••••••• F••• 9• L••
        pooled vehicle sponsorn
      • J•• R••••• A•••••••• F••• 6• L••
        pooled vehicle sponsorn
      • J•• R••••• A•••••••• F••• 7• L••
        pooled vehicle sponsorn
      • J•• R••••• A•••••••• F••• 8• L••
        pooled vehicle sponsorn
      • J•• R••••• F••• M••••••• L••
        pooled vehicle sponsorn
      • J•• S••••••••• L••
        broker-dealern
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 8 to 7
        Mar 30, 2023 to Mar 15, 2024
      • Pooled vehicle clients · 8 to 7
        Mar 30, 2023 to Mar 15, 2024
      • Discretionary RAUM · $1.3B to $1.5B
        Mar 30, 2023 to Mar 15, 2024
      • Pooled vehicle RAUM · $1.3B to $1.5B
        Mar 30, 2023 to Mar 15, 2024
      • RAUM · $1.3B to $1.5B
        Mar 30, 2023 to Mar 15, 2024
      • Assets in custody · 5484079.0 to unset
        Mar 29, 2021 to Mar 31, 2022
      • Custody of client assets · true to false
        Mar 29, 2021 to Mar 31, 2022
      • Discretionary RAUM · $924M to $1.3B
        Mar 29, 2021 to Mar 31, 2022
      • Pooled vehicle RAUM · $924M to $1.3B
        Mar 29, 2021 to Mar 31, 2022
      • RAUM · $924M to $1.3B
        Mar 29, 2021 to Mar 31, 2022
      • Accounts · 7 to 8
        Sep 2, 2020 to Mar 29, 2021
      • Pooled vehicle clients · 7 to 8
        Sep 2, 2020 to Mar 29, 2021
      • Assets in custody · $13.1M to $5.5M
        Sep 2, 2020 to Mar 29, 2021
      • Discretionary RAUM · $920M to $924M
        Sep 2, 2020 to Mar 29, 2021
      • Pooled vehicle RAUM · $920M to $924M
        Sep 2, 2020 to Mar 29, 2021
      • RAUM · $920M to $924M
        Sep 2, 2020 to Mar 29, 2021
      • Accounts · 8 to 7
        Mar 28, 2019 to Mar 30, 2020
      • Pooled vehicle clients · 8 to 7
        Mar 28, 2019 to Mar 30, 2020
      • Commission compensation · false to true
        Mar 28, 2019 to Mar 30, 2020
      • Assets in custody · $9.1M to $13.1M
        Mar 28, 2019 to Mar 30, 2020
      • Private funds · 8 to unset
        Mar 28, 2019 to Mar 30, 2020
      • Discretionary RAUM · $0 to $920M
        Mar 28, 2019 to Mar 30, 2020
      • Non-discretionary RAUM · $833M to $0
        Mar 28, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $833M to $920M
        Mar 28, 2019 to Mar 30, 2020
      • RAUM · $833M to $920M
        Mar 28, 2019 to Mar 30, 2020
      • Advisory employees · 4 to 7
        Apr 27, 2018 to Mar 28, 2019
      • Assets in custody · $2.7M to $9.1M
        Apr 27, 2018 to Mar 28, 2019
      • Employees · 8 to 7
        Apr 27, 2018 to Mar 28, 2019
      • Private funds · 7 to 8
        Apr 27, 2018 to Mar 28, 2019
      • Discretionary RAUM · $678M to $0
        Apr 27, 2018 to Mar 28, 2019
      • Non-discretionary RAUM · $0 to $833M
        Apr 27, 2018 to Mar 28, 2019
      • Pooled vehicle RAUM · $678M to $833M
        Apr 27, 2018 to Mar 28, 2019
      • RAUM · $678M to $833M
        Apr 27, 2018 to Mar 28, 2019
      • Related broker-dealer · false to true
        Mar 29, 2018 to Apr 27, 2018
      • Accounts · 6 to 8
        Sep 14, 2017 to Mar 29, 2018
      • Advisory employees · 6 to 4
        Sep 14, 2017 to Mar 29, 2018
      • BD registered reps · 0 to 2
        Sep 14, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 8.0
        Sep 14, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        Sep 14, 2017 to Mar 29, 2018
      • Private funds · 6 to 7
        Sep 14, 2017 to Mar 29, 2018
      Signals
      5 dated events
      • J•• C•••••• L••••• no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $1.5B)
        May 2, 2025 · Left the SEC roster · derived
      • J•• C•••••• L••••• reported RAUM $1.3B, up 41% from $924.1M (2021-03-29 to 2022-03-31)
        Mar 31, 2022 · RAUM change · derived
      • Edward David Lakowski (Chief Compliance Officer) no longer on Schedule A of J•• C•••••• L••••• (listed 2020-08-28, absent 2020-09-02)
        Sep 2, 2020 · Control person left · inference
      • W. William Annibali (Vp Of Investments) no longer on Schedule A of J•• C•••••• L••••• (listed 2018-04-27, absent 2019-03-28)
        Mar 28, 2019 · Control person left · inference
      • J•• R••••• C••••••••• filed its initial SEC registration (Form ADV)
        Feb 17, 2014 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      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
      Across the graphs

      J•• C•••••• L••••• is the same institution as 1 record in Real Estate Funds.

      Real Estate Funds1

      Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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