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.

Former SEC-registered adviser

J.P. Morgan Clearing Corp.

Former SEC-registered adviserNew York, New YorkCRD 28432SEC 801-61542IAPD
Latest filing Mar 19, 2014
First filing on the tape Mar 23, 2012 · 15 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1,252
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM: $144M
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Mar 26, 2013
Mar 23, 20120 then
Employees (5.A): 1,252
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 4
Practice profile
derived from the filing of Mar 19, 2014; 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
313.0derivedItem 5.A over advisors
Advisors per office
2.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
otherreportedItem 5.E
Advisory activities
otherreportedItem 5.G
Custody
$74.9M, 427 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 a broker-dealer (6.A.1)
  • 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)
  • 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
n/areported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$74.9M for 427 clientsreported
Compensation
n/areported
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
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Jeffrey Carl Bernstein · Directorcontrol
    since 06/2013 · owns less than 5%
  • Michael Mather Boardman · Directorcontrol
    since 12/2013 · owns less than 5%
  • Julius Raphael Leiman-Carbia · Chief Compliance Officercontrol
    since 05/2013 · owns less than 5%
  • John James Mckenna · Directorcontrol
    since 06/2013 · owns less than 5%
  • Michael Minikes · Directorcontrol
    since 07/2013 · owns less than 5%
  • Joseph John Triarsi · Directorcontrol
    since 02/2009 · owns less than 5%
  • James Michael Collins · Chief Financial Officer
    since 06/2008 · owns less than 5%
  • Patrick Paul Dempsey · Treasurer
    since 07/2013 · owns less than 5%
  • William Howard Freilich · Chief Legal Officer
    since 02/2004 · owns less than 5%
  • Teresa Ann Heitsenrether · Chairman, Chief Executive Officer
    since 07/2013 · owns less than 5%
  • Patrick C Kirby · Chief Operating Officer And Director
    since 03/2011 · owns less than 5%
  • Jeffrey Mark Lipman · Secretary
    since 07/2012 · owns less than 5%
Entity owners
  • J.P. Morgan Securities LLC · Shareholder
    direct · owns 75% or more
  • JP Morgan Chase & Co. · Stock Holder
    indirect · owns 75% or more of J.P. Morgan Securities LLC · public reporting company
Related persons
Schedule D 7.A
Advisers that list J.P. Morgan Clearing Corp. as a related person
Offices
Schedule D 1.F, the 25 largest
  • Brooklyn, NY
What changed
consecutive filings, newest first
  • Accounts · 557.0 to unset
    Jan 17, 2013 to Mar 26, 2013
  • Advisory employees · 0 to 4
    Jan 17, 2013 to Mar 26, 2013
  • BD registered reps · 359 to 347
    Jan 17, 2013 to Mar 26, 2013
  • Assets in custody · $144M to $74.9M
    Jan 17, 2013 to Mar 26, 2013
  • Employees · 1,295 to 1,252
    Jan 17, 2013 to Mar 26, 2013
  • HQ city · BROOKLYN to NEW YORK
    Jan 17, 2013 to Mar 26, 2013
  • Discretionary RAUM · 144239640.0 to unset
    Jan 17, 2013 to Mar 26, 2013
  • Non-discretionary RAUM · 0.0 to unset
    Jan 17, 2013 to Mar 26, 2013
  • RAUM · 144239640.0 to unset
    Jan 17, 2013 to Mar 26, 2013
  • Related bank · false to true
    Jan 17, 2013 to Mar 26, 2013
  • BD registered reps · unset to 359.0
    Sep 19, 2012 to Jan 17, 2013
  • Employees · unset to 1295.0
    Sep 19, 2012 to Jan 17, 2013
  • State-registered IARs · 0 to 4
    Sep 19, 2012 to Jan 17, 2013
Signals
No event on the tape.
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