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Former SEC-registered adviser

A••••••••

Former SEC-registered adviserCRD 281139SEC 801-107680IAPD
Legal name J•• V• I•••
Latest filing Nov 24, 2020
First filing on the tape Apr 6, 2016 · 13 filings
RAUM
$3.5M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$3.5M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$3.5M as of Mar 10, 2020
Mar 10, 2017$650,000 then
HNW client RAUM$3.1M as of Mar 10, 2020
Mar 23, 2018$1.9M then
State-registered IARs (5.B.3)2 as of Mar 10, 2020
Mar 10, 20171 then
Employees (5.A)6 as of Mar 10, 2020
Mar 10, 20177 then
Private funds: no history
RAUM +58% over the last fiscal year+75% a year over threeIARs 2 to 1
Practice profile
derived from the filing of Nov 24, 2020; every figure names its basis
RAUM per advisor
$3.5MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
16derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$262,085derivedHNW RAUM over HNW clients
Average account
$218,372derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
4.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+58%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+14%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Wrap fee program
$3.5MreportedItem 5.I
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$3.1M90%
  • Individuals$348,92810.0%
Individual clients
4reported
HNW clients
12reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
16reported
Financial planning clients
n/areported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      • V••••••••• I•••••• · President & Chief Executive Officercontrol
        since 06/2015 · owns 50% to 75%
      • L••••••••• O•••••• · Chief Compliance Officer
        since 01/2017 · owns 5% to 10%
      • L••••••••• A•••••••• · Business Advisor
        since 11/2020 · owns 5% to 10%
      • M•••••••• N••••••• · Shareholder
        since 11/2016 · owns 5% to 10%
      • N••••••• M•••• · Head Of Design
        since 11/2020 · owns 5% to 10%
      • P••••••••• A••••• · Shareholder
        since 11/2016 · owns 5% to 10%
      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
      • Advisory employees · 2 to 1
        Jun 30, 2020 to Nov 24, 2020
      • Employees · 6 to 4
        Jun 30, 2020 to Nov 24, 2020
      • State-registered IARs · 2 to 1
        Jun 30, 2020 to Nov 24, 2020
      • Accounts · 14 to 16
        Mar 15, 2019 to Mar 10, 2020
      • HNW clients · 11 to 12
        Mar 15, 2019 to Mar 10, 2020
      • Individual clients · 3 to 4
        Mar 15, 2019 to Mar 10, 2020
      • Discretionary RAUM · $2.2M to $3.5M
        Mar 15, 2019 to Mar 10, 2020
      • HNW RAUM · $2.1M to $3.1M
        Mar 15, 2019 to Mar 10, 2020
      • Individual RAUM · $156,114 to $348,928
        Mar 15, 2019 to Mar 10, 2020
      • RAUM · $2.2M to $3.5M
        Mar 15, 2019 to Mar 10, 2020
      • Related adviser · true to false
        Mar 15, 2019 to Mar 10, 2020
      • Accounts · 11 to 14
        Nov 7, 2018 to Mar 15, 2019
      • Advisory employees · 1 to 2
        Nov 7, 2018 to Mar 15, 2019
      • HNW clients · 9 to 11
        Nov 7, 2018 to Mar 15, 2019
      • Individual clients · 2 to 3
        Nov 7, 2018 to Mar 15, 2019
      • Employees · 7 to 6
        Nov 7, 2018 to Mar 15, 2019
      • State-registered IARs · 1 to 2
        Nov 7, 2018 to Mar 15, 2019
      • Discretionary RAUM · $2.0M to $2.2M
        Nov 7, 2018 to Mar 15, 2019
      • HNW RAUM · $1.9M to $2.1M
        Nov 7, 2018 to Mar 15, 2019
      • Individual RAUM · $163,652 to $156,114
        Nov 7, 2018 to Mar 15, 2019
      • RAUM · $2.0M to $2.2M
        Nov 7, 2018 to Mar 15, 2019
      • Accounts · 7 to 11
        Jul 21, 2017 to Mar 23, 2018
      • HNW clients · unset to 9.0
        Jul 21, 2017 to Mar 23, 2018
      • Individual clients · unset to 2.0
        Jul 21, 2017 to Mar 23, 2018
      • Other offices · unset to 0.0
        Jul 21, 2017 to Mar 23, 2018
      • Discretionary RAUM · $650,000 to $2.0M
        Jul 21, 2017 to Mar 23, 2018
      • HNW RAUM · unset to 1853946.0
        Jul 21, 2017 to Mar 23, 2018
      • Individual RAUM · unset to 163652.0
        Jul 21, 2017 to Mar 23, 2018
      • RAUM · $650,000 to $2.0M
        Jul 21, 2017 to Mar 23, 2018
      • Wrap assets (manager) · unset to 0.0
        Jul 21, 2017 to Mar 23, 2018
      • Wrap assets (sponsor) · unset to 0.0
        Jul 21, 2017 to Mar 23, 2018
      • Business name · A•••• R••• to A••••••••
        Mar 10, 2017 to Jul 21, 2017
      • Accounts · 0 to 7
        Nov 23, 2016 to Mar 10, 2017
      • Employees · 4 to 7
        Nov 23, 2016 to Mar 10, 2017
      • Discretionary RAUM · $0 to $650,000
        Nov 23, 2016 to Mar 10, 2017
      • RAUM · $0 to $650,000
        Nov 23, 2016 to Mar 10, 2017
      • Related adviser · false to true
        Nov 23, 2016 to Mar 10, 2017
      • Business name · J•• V• I••• to A•••• R•••
        Apr 6, 2016 to Jun 23, 2016
      Signals
      1 dated events
      • J•• V• I••• filed its initial SEC registration (Form ADV)
        Apr 6, 2016 · 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