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•• C•••••• G•••• W••••• S•••••••• L••
Latest filing Mar 27, 2026
First filing on the tape Sep 9, 2015 · 21 filings
SEC status approved since Oct 2, 2015
RAUM
$174M
reported, Item 5.F
Discretionary
78%
of RAUM
Private clients
77%
$134M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$58.0M
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
21 filings and snapshots on the tape
RAUM$174M as of Mar 27, 2026
Mar 24, 2016$107M then
HNW client RAUM$86.3M as of Mar 27, 2026
Mar 28, 2018$47.6M then
State-registered IARs (5.B.3)3 as of Mar 27, 2026
Mar 24, 20164 then
Employees (5.A)4 as of Mar 27, 2026
Mar 24, 20165 then
Private funds: no history
RAUM +7.9% over the last fiscal year+7.0% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 27, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $58.0MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 138derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $575,361derivedHNW RAUM over HNW clients
- Average account
- $415,291derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 78%derivedof RAUM
- Institutional
- 23%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +7.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.2%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consulting, selection of other advisers, publications, otherreportedItem 5.G
- Custody
- $11.4M, 10 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
- is an insurance broker or agent (6.A.6)
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$86.3M50%
- Individuals$48.1M28%
- Pension and profit-sharing plans$38.4M22%
- Charitable organizations$1.3M0.7%
- Individual clients
- 265reported
- HNW clients
- 150reported
- Pension plan clients
- 3reported
- Charitable clients
- 1reported
- Accounts
- 419reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $11.4M for 10 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.77 fund_share=0.0 institutional_share=0.23 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M•••••• T•••••••• C•••• | Sewickley, Pa | Feb 19, 2016 | 27 y | 1 |
| S•••• W•••••• M•••••Certified Financial Planner | Sewickley, Pa | Feb 19, 2016 | 27 y | 1 |
| J••• M••••• S••••••••Certified Financial Planner | Sewickley, Pa | Feb 22, 2016 | 33 y | 1 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- J••• M••••• S•••••••• from P•• W••••• M•••••••••Feb 22, 2016 · Other
- M•••••• T•••••••• C•••• from P•• W••••• M•••••••••Feb 19, 2016 · Other
- S•••• W•••••• M••••• from P•• W••••• M•••••••••Feb 19, 2016 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from P•• W••••• M•••••••••Jun 8, 2017 · Greensburg, Pa
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••• M••••••• T•••••••• · Chief Compliance Officercontrolsince 08/2015 · owns less than 5%
- S••••••••• J•••• M••••• · President/Ceocontrolsince 07/2015 · owns less than 5%
- S••••••••• J•••• M••••• · Ownercontrolsince 07/2015 · owns 75% or more of Jms Capital Group LLC
Entity owners
- J•• C•••••• G••••• L•• · Owner / Holding Companydirect · owns 75% or more
Related persons
Schedule D 7.A
- K•• I••••••••• I•••pooled vehicle sponsorn
- M•• P•••••••••pooled vehicle sponsorn
- O•• T•••• S••••• L••pooled vehicle sponsorn
- P•••••• W••••• A••••••• R••• E••••• P••••••••• I••• L••pooled vehicle sponsorn
- P•• 3•• E••• L•••••• G•• I•••pooled vehicle sponsorn
- P•• C••••••••• I•••pooled vehicle sponsorn
- P•• C••• I•••pooled vehicle sponsorn
- P•• F••• L••pooled vehicle sponsorn
- P•• G•••• I•••pooled vehicle sponsorn
- P•• K•• I•••pooled vehicle sponsorn
- P•• P•••• L••pooled vehicle sponsorn
- P•• R••• E••••• L••investment companyn
- P•• R•••••••• O••••• T••••• L••pooled vehicle sponsorn
- P•• S•• I•••pooled vehicle sponsorn
- P•• S• I••pooled vehicle sponsorn
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Sewickley, Pa · principal | 3 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 415 to 419Mar 31, 2025 to Mar 27, 2026
- HNW clients · 151 to 150Mar 31, 2025 to Mar 27, 2026
- Individual clients · 259 to 265Mar 31, 2025 to Mar 27, 2026
- Pension plan clients · 4 to 3Mar 31, 2025 to Mar 27, 2026
- Assets in custody · $4.3M to $11.4MMar 31, 2025 to Mar 27, 2026
- Discretionary RAUM · $127M to $136MMar 31, 2025 to Mar 27, 2026
- HNW RAUM · $81.9M to $86.3MMar 31, 2025 to Mar 27, 2026
- Individual RAUM · $44.3M to $48.1MMar 31, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $34.0M to $38.4MMar 31, 2025 to Mar 27, 2026
- Pension RAUM · $34.0M to $38.4MMar 31, 2025 to Mar 27, 2026
- RAUM · $161M to $174MMar 31, 2025 to Mar 27, 2026
- Accounts · 407 to 415Mar 29, 2024 to Mar 31, 2025
- Individual clients · 251 to 259Mar 29, 2024 to Mar 31, 2025
- Assets in custody · $4.0M to $4.3MMar 29, 2024 to Mar 31, 2025
- Financial planning clients · 1-10 to 1-10Mar 29, 2024 to Mar 31, 2025
- Discretionary RAUM · $118M to $127MMar 29, 2024 to Mar 31, 2025
- HNW RAUM · $78.3M to $81.9MMar 29, 2024 to Mar 31, 2025
- Individual RAUM · $38.6M to $44.3MMar 29, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $25.9M to $34.0MMar 29, 2024 to Mar 31, 2025
- Pension RAUM · $25.9M to $34.0MMar 29, 2024 to Mar 31, 2025
- RAUM · $144M to $161MMar 29, 2024 to Mar 31, 2025
- Accounts · 429 to 407Mar 27, 2023 to Mar 29, 2024
- HNW clients · 165 to 151Mar 27, 2023 to Mar 29, 2024
- Individual clients · 256 to 251Mar 27, 2023 to Mar 29, 2024
- Pension plan clients · 7 to 4Mar 27, 2023 to Mar 29, 2024
- Assets in custody · $590,438 to $4.0MMar 27, 2023 to Mar 29, 2024
- Discretionary RAUM · $120M to $118MMar 27, 2023 to Mar 29, 2024
- HNW RAUM · $81.8M to $78.3MMar 27, 2023 to Mar 29, 2024
- Individual RAUM · $35.7M to $38.6MMar 27, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $22.1M to $25.9MMar 27, 2023 to Mar 29, 2024
- Pension RAUM · $23.5M to $25.9MMar 27, 2023 to Mar 29, 2024
- RAUM · $142M to $144MMar 27, 2023 to Mar 29, 2024
- Accounts · 440 to 429Mar 30, 2022 to Mar 27, 2023
- Corporate clients · 3 to 0Mar 30, 2022 to Mar 27, 2023
- HNW clients · 169 to 165Mar 30, 2022 to Mar 27, 2023
- Individual clients · 260 to 256Mar 30, 2022 to Mar 27, 2023
- Assets in custody · $676,151 to $590,438Mar 30, 2022 to Mar 27, 2023
- Discretionary RAUM · $134M to $120MMar 30, 2022 to Mar 27, 2023
- HNW RAUM · $91.6M to $81.8MMar 30, 2022 to Mar 27, 2023
- Individual RAUM · $40.9M to $35.7MMar 30, 2022 to Mar 27, 2023
Signals
1 dated events
- J•• C•••••• G•••• W••••• S•••••••• L•• filed its initial SEC registration (Form ADV)Sep 9, 2015 · 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
- Business email
- info@jmscapitalgroup.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business email
- 412.415.1177elindblad@jmscapitalgroup.comreportedpublished by the firm, firm site, Sep 16, 2026
- Business phone
- 412-415-1177reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- H••••://WWW.LINKEDIN.COM/COMPANY/JMS-CAPITAL-GROUPreportedpublic record, Form ADV, Sep 18, 2026
- Website
- J•••••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 412-415-1177reportedpublic record, Form ADV, Mar 27, 2026
- Contact form
- jmscapitalgroup.com/contact-usreportedpublished by the firm, firm site, Sep 16, 2026
- Team page
- jmscapitalgroup.com/wealth-services/teamreportedpublished by the firm, firm site, Sep 16, 2026
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $58.0Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026