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
A••••••• W••••• A••••••••• G•••• L••
Latest filing Jul 8, 2026
First filing on the tape Jan 23, 2016 · 35 filings
SEC status approved since Feb 10, 2016
RAUM
$48.3M
reported, Item 5.F
Discretionary
82%
of RAUM
Private clients
100%
$48.3M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$16.1M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
35 filings and snapshots on the tape
RAUM$48.3M as of Jul 8, 2026
Mar 31, 2017$46.0M then
HNW client RAUM$39.8M as of Jul 8, 2026
Mar 30, 2018$25.5M then
State-registered IARs (5.B.3)2 as of Jul 8, 2026
Mar 31, 20174 then
Employees (5.A)3 as of Jul 8, 2026
Mar 31, 20174 then
Private funds: no history
RAUM +3.6% over the last fiscal year+11% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Jul 8, 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
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $16.1MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 56derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $686,983derivedHNW RAUM over HNW clients
- Average account
- $216,794derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 82%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +3.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +5.0%derived
- Compensation
- percentage of assets, hourly, fixed fees, commissionsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, publicationsreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$39.8M82%
- Individuals$8.5M18%
- Individual clients
- 109reported
- HNW clients
- 58reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 223reported
- Financial planning clients
- 26-50reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, hourly, commissionsreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 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 |
|---|---|---|---|---|
| K•••• J••• H••••• | Glen Cove, Ny | Jul 13, 2016 | 30 y | 2 |
| T•••••• J••• H•••••Personal Financial Specialist | Glen Cove, Ny | Jan 1, 2026 | 36 y | 1 |
| J••••••• S•••••• L••••••••Certified Financial Planner | Glen Cove, Ny | Apr 30, 2026 | 41 y | 4 |
Advisor movement
0 left, 2 joined in 12 months
net +2 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••••••• S•••••• L•••••••• from U••••• A•••••••Apr 30, 2026 · Other
- T•••••• J••• H••••• from U••••• A•••••••Jan 1, 2026 · Other
- K•••• J••• H••••• from U••••• A•••••••Jul 13, 2016 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- H•••••• K••••• J••• · Managing Member/Ceo/Chairman/Chief Compliance Officercontrolsince 02/2016 · owns 25% to 50%
- H•••••• T••••••• J••• · Managing Member And Chief Financial Officercontrolsince 02/2016 · owns 25% to 50%
- L••••••••• J•••••••• S•••••• · Managing Member And Presidentcontrolsince 02/2016 · owns less than 5%
- L••••••••• J•••••••• S•••••• · Managing Membercontrolsince 09/2014 · owns 75% or more of Jsl Wealth Management LLC
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Glen Cove, Ny · principal | 3 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 218 to 223Mar 31, 2025 to Mar 27, 2026
- HNW clients · 54 to 58Mar 31, 2025 to Mar 27, 2026
- Individual clients · 105 to 109Mar 31, 2025 to Mar 27, 2026
- Discretionary RAUM · $38.2M to $39.8MMar 31, 2025 to Mar 27, 2026
- HNW RAUM · $38.2M to $39.8MMar 31, 2025 to Mar 27, 2026
- RAUM · $46.7M to $48.3MMar 31, 2025 to Mar 27, 2026
- Accounts · 266 to 218Sep 27, 2024 to Mar 31, 2025
- Financial planning clients · 26-50 to 26-50Sep 27, 2024 to Mar 31, 2025
- Discretionary RAUM · $41.5M to $38.2MSep 27, 2024 to Mar 31, 2025
- HNW RAUM · $37.0M to $38.2MSep 27, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $4.0M to $8.5MSep 27, 2024 to Mar 31, 2025
- RAUM · $45.5M to $46.7MSep 27, 2024 to Mar 31, 2025
- Accounts · 211 to 266Mar 28, 2024 to Sep 27, 2024
- HNW clients · 34 to 54Mar 28, 2024 to Sep 27, 2024
- Individual clients · 55 to 105Mar 28, 2024 to Sep 27, 2024
- Discretionary RAUM · $34.0M to $41.5MMar 28, 2024 to Sep 27, 2024
- HNW RAUM · $29.5M to $37.0MMar 28, 2024 to Sep 27, 2024
- RAUM · $38.0M to $45.5MMar 28, 2024 to Sep 27, 2024
- Accounts · 241 to 211Feb 28, 2023 to Mar 28, 2024
- Advisory activities · 6 to 4Feb 28, 2023 to Mar 28, 2024
- Charity clients · unset to 0.0Feb 28, 2023 to Mar 28, 2024
- Corporate clients · unset to 0.0Feb 28, 2023 to Mar 28, 2024
- Individual clients · 89 to 55Feb 28, 2023 to Mar 28, 2024
- Pension plan clients · unset to 0.0Feb 28, 2023 to Mar 28, 2024
- Pooled vehicle clients · unset to 0.0Feb 28, 2023 to Mar 28, 2024
- Financial planning clients · 11-25 to 26-50Feb 28, 2023 to Mar 28, 2024
- State-registered IARs · 3 to 2Feb 28, 2023 to Mar 28, 2024
- Discretionary RAUM · $33.1M to $34.0MFeb 28, 2023 to Mar 28, 2024
- HNW RAUM · $27.5M to $29.5MFeb 28, 2023 to Mar 28, 2024
- Individual RAUM · $7.6M to $8.5MFeb 28, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $1.9M to $4.0MFeb 28, 2023 to Mar 28, 2024
- RAUM · $35.0M to $38.0MFeb 28, 2023 to Mar 28, 2024
- Wrap assets (manager) · 33574000.0 to unsetFeb 28, 2023 to Mar 28, 2024
- Wrap assets (sponsor) · 33574000.0 to unsetFeb 28, 2023 to Mar 28, 2024
- Accounts · 111 to 241Mar 30, 2022 to Feb 28, 2023
- Advisory employees · 3 to 2Mar 30, 2022 to Feb 28, 2023
- Advisory activities · 5 to 6Mar 30, 2022 to Feb 28, 2023
- HNW clients · 30 to 34Mar 30, 2022 to Feb 28, 2023
- Individual clients · 81 to 89Mar 30, 2022 to Feb 28, 2023
- Employees · 4 to 3Mar 30, 2022 to Feb 28, 2023
Signals
1 dated events
- A••••••• W••••• filed its initial SEC registration (Form ADV)Jan 23, 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.
How to reach
public business contact points only, each with its source
- Principal office phone
- (516) 833-6800reportedpublic record, Form ADV, Jul 8, 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
- $16.1Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026