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•••••• M••••••••• L•

Former SEC-registered adviserNew York, New YorkCRD 283427SEC 801-107907IAPD
Latest filing Mar 29, 2018
First filing on the tape May 24, 2016 · 5 filings
RAUM
$445M
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
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$104M gross assets
History
5 filings and snapshots on the tape
RAUM$445M as of Mar 29, 2018
Mar 31, 2017$286M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2018
Mar 31, 20170 then
Employees (5.A)7 as of Mar 29, 2018
Mar 31, 20178 then
Private funds1 as of Mar 29, 2018
Mar 31, 20171 then
RAUM +56% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2018; 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
$111MderivedRAUM 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
+56%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$39.5M, 2 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
  • 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)
  • 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Corporations and businesses$340M77%
  • Pooled investment vehicles$104M23%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
4reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$39.5M for 2 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
      Every departureEvery arrival
      Private funds
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      J•••• C•••••• M••••• F•••Hedge Fund$104M45Jul 29, 2016
      Owners and control persons
      Schedule A and B, latest filing
      • F••• M••••••• C••••••• · Chief Operating Officer, Chief Financial Officer And Chief Compliance Officercontrol
        since 01/2016 · owns less than 5%
      • Y•••• A••••••••• D• · Trustee Of R•••••• A. Y••• 2009 Gst Trustcontrol
        since 01/2016 · owns 10% to 25%
      • Y•••• R••••••• A••• · Trustee Of R•••••• A••• Y••• R•••••••• Trustcontrol
        since 01/2016 · owns 75% or more
      • F••• M••••••• C••••••• · Chief Operating Officer And Chief Financial Officercontrol
        since 01/2016 · owns F of J•••• C•••••• M••••••••• G• L••
      • Y•••• R••••••• A••• · Managing Membercontrol
        since 01/2016 · owns 75% or more of J•••• C•••••• M••••••••• G• L••
      Entity owners
      • J•••• C•••••• M••••••••• G• L•• · General Partner
        direct · owns less than 5%
      • R•••••• A• Y••• 2••• G•• T••••• U•••• A•••••••• D•••• D••••••• 1•• 2••• · Owner Of J•••• C•••••• M••••••••• L•
        direct · owns 10% to 25%
      • R•••••• A••• Y••• R•••••••• T••••• U•••• A•••••••• D•••• N••••••• 1•• 2••• · Owner Of J•••• C•••••• M••••••••• L•
        direct · owns 75% or more
      • J•••• C•••••• M••••••••• G• L•• · General Partner
        indirect · owns F of J•••• C•••••• M••••••••• G• L••
      • R•••••• A••• Y••• R•••••••• T••••• U•••• A•••••••• D•••• N••••••• 1•• 2••• · Owner
        indirect · owns F of J•••• C•••••• M••••••••• G• L••
      Related persons
      Schedule D 7.A
      • J•••• C•••••• G• L••
        investment adviserpooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 2 to 4
        Mar 31, 2017 to Mar 29, 2018
      • Advisory employees · 5 to 4
        Mar 31, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 3.0
        Mar 31, 2017 to Mar 29, 2018
      • Assets in custody · $12.8M to $39.5M
        Mar 31, 2017 to Mar 29, 2018
      • Employees · 8 to 7
        Mar 31, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        Mar 31, 2017 to Mar 29, 2018
      • Discretionary RAUM · $286M to $445M
        Mar 31, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 104467738.0
        Mar 31, 2017 to Mar 29, 2018
      • RAUM · $286M to $445M
        Mar 31, 2017 to Mar 29, 2018
      • Accounts · 4 to 2
        Jul 29, 2016 to Mar 31, 2017
      • Assets in custody · unset to 12840955.0
        Jul 29, 2016 to Mar 31, 2017
      • Custody of client assets · false to true
        Jul 29, 2016 to Mar 31, 2017
      • Discretionary RAUM · $262M to $286M
        Jul 29, 2016 to Mar 31, 2017
      • RAUM · $262M to $286M
        Jul 29, 2016 to Mar 31, 2017
      • Accounts · unset to 4.0
        Jun 30, 2016 to Jul 29, 2016
      • Employees · 7 to 8
        Jun 30, 2016 to Jul 29, 2016
      • Private funds · unset to 1
        Jun 30, 2016 to Jul 29, 2016
      • Discretionary RAUM · unset to 262000000.0
        Jun 30, 2016 to Jul 29, 2016
      • Non-discretionary RAUM · unset to 0.0
        Jun 30, 2016 to Jul 29, 2016
      • RAUM · unset to 262000000.0
        Jun 30, 2016 to Jul 29, 2016
      • Related adviser · false to true
        Jun 30, 2016 to Jul 29, 2016
      Signals
      2 dated events
      • J•••• C•••••• M••••••••• L• reported RAUM $444.7M, up 56% from $285.8M (2017-03-31 to 2018-03-29)
        Mar 29, 2018 · RAUM change · derived
      • J•••• C•••••• M••••••••• L• filed its initial SEC registration (Form ADV)
        May 24, 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