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• L•••• M••••••••• P••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 284798SEC 801-112831IAPD
Latest filing Mar 28, 2019
First filing on the tape Aug 1, 2016 · 5 filings
RAUM
$26.7M
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
5
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$26.7M gross assets
History
5 filings and snapshots on the tape
RAUM$26.7M as of Mar 28, 2019
Oct 18, 2017$20.9M then
HNW client RAUM$0 as of Mar 28, 2019
Oct 18, 2017$0 then
State-registered IARs (5.B.3)0 as of Mar 28, 2019
Aug 1, 20160 then
Employees (5.A)5 as of Mar 28, 2019
Aug 1, 20165 then
Private funds2 as of Mar 28, 2019
Oct 18, 20171 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 28, 2019; 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
$13.3MderivedRAUM 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
unknownderivedbetween 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 pooled vehicles, otherreportedItem 5.G
Custody
yesreportedItem 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)
  • 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
  • Pooled investment vehicles$26.7M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      J•• A••••••••• P••••••• I•• L•••Private Equity Fund$26.2M1Jul 31, 2018
      J•• A••••••••• P••••••• I• L•••Private Equity Fund$14.2M1Oct 18, 2017
      Owners and control persons
      Schedule A and B, latest filing
      • I•••• S•••••• R•••••• · Managing Member / Chief Compliance Officercontrol
        since 10/2015 · owns less than 5%
      • L••••• J••••• W•••• · Senior Managing Membercontrol
        since 10/2015 · owns less than 5%
      • P•••••• M••••••• A••••• · Managing Membercontrol
        since 10/2015 · owns less than 5%
      • S•••••• S••••••• I••••• · Managing Membercontrol
        since 10/2015 · owns less than 5%
      • G••••• W••••••• H•••• · Membercontrol
        since 04/1995 · owns 75% or more of C•••••• I••••••••• L•••••
      • J••••••••• L•••• · Trusteecontrol
        since 06/1993 · owns F of M••• J•••••••• 6•••••• T••••
      • J••••••••• L•••• · Trusteecontrol
        since 06/1987 · owns F of J••••••• J•••••••• 6••••• T••••
      • J••••••••• L•••• · Trusteecontrol
        since 06/1986 · owns F of R••• J•••••••• 6••••• T••••
      • J••••••••• L•••• · Trusteecontrol
        since 03/1984 · owns F of S••••• J•••••••• 3•••••• T••••
      • J••••••••• M••••••• G•••••• · Managercontrol
        since 05/2003 · owns F of J••• F••• L••
      • J••••••••• M••••••• G•••••• · Trusteecontrol
        since 06/1987 · owns F of J••••••• J•••••••• 6••••• T••••
      • J••••••••• M••••••• G•••••• · Trusteecontrol
        since 06/1993 · owns F of M••• J•••••••• 6•••••• T••••
      • J••••••••• M••••••• G•••••• · Trusteecontrol
        since 06/1986 · owns F of R••• J•••••••• 6••••• T••••
      • J••••••••• M••••••• G•••••• · Trusteecontrol
        since 03/1984 · owns F of S••••• J•••••••• 3•••••• T••••
      • S••••••• C•••••• L••• · Trusteecontrol
        since 09/2006 · owns F of A• D••••• J•••••••• 0••••••••• T••••
      • S••••••• C•••••• L••• · Trustee - A• D••••• J•••••••• 0••••••••• T••••
        since 09/2006 · owns 10% to 25%
      Entity owners
      • E••••• I• F••••••••• E••••• I• F••••••••• · Owner
        indirect · owns 75% or more of K• C••••••••• L••••••
      • K• C••••••••• L•••••• · Owner
        indirect · owns 75% or more of K• U••••••••
      • K• U•••••••• · Owner
        indirect · owns 75% or more of C•••••• K••
      • A• D••••• J•••••••• 0••••••••• T•••• · Capital Member
        direct · owns 10% to 25%
      • C•••••• K•• · Capital Member
        direct · owns 10% to 25%
      • C•••••• I••••••••• L••••• · Capital Member
        direct · owns 25% to 50%
      • J••• F••• L•• · Capital Member
        direct · owns 10% to 25%
      • J••••••• J•••••••• 6••••• T•••• · Member
        indirect · owns 25% to 50% of J••• F••• L••
      • M••• J•••••••• 6•••••• T•••• · Member
        indirect · owns 25% to 50% of J••• F••• L••
      • R••• J•••••••• 6••••• T•••• · Member
        indirect · owns 25% to 50% of J••• F••• L••
      • S••••• J•••••••• 3•••••• T•••• · Member
        indirect · owns 25% to 50% of J••• F••• L••
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $25.2M to $26.7M
        Jul 31, 2018 to Mar 28, 2019
      • Pooled vehicle RAUM · $25.2M to $26.7M
        Jul 31, 2018 to Mar 28, 2019
      • RAUM · $25.2M to $26.7M
        Jul 31, 2018 to Mar 28, 2019
      • Accounts · 1 to 2
        Mar 13, 2018 to Jul 31, 2018
      • Pooled vehicle clients · 1 to 2
        Mar 13, 2018 to Jul 31, 2018
      • Private funds · 1 to 2
        Mar 13, 2018 to Jul 31, 2018
      • Discretionary RAUM · $15.7M to $25.2M
        Mar 13, 2018 to Jul 31, 2018
      • Pooled vehicle RAUM · $15.7M to $25.2M
        Mar 13, 2018 to Jul 31, 2018
      • RAUM · $15.7M to $25.2M
        Mar 13, 2018 to Jul 31, 2018
      • Discretionary RAUM · $20.9M to $15.7M
        Oct 18, 2017 to Mar 13, 2018
      • Pooled vehicle RAUM · $20.9M to $15.7M
        Oct 18, 2017 to Mar 13, 2018
      • RAUM · $20.9M to $15.7M
        Oct 18, 2017 to Mar 13, 2018
      • Accounts · unset to 1.0
        Aug 1, 2016 to Oct 18, 2017
      • Charity clients · unset to 0.0
        Aug 1, 2016 to Oct 18, 2017
      • Corporate clients · unset to 0.0
        Aug 1, 2016 to Oct 18, 2017
      • HNW clients · unset to 0.0
        Aug 1, 2016 to Oct 18, 2017
      • Individual clients · unset to 0.0
        Aug 1, 2016 to Oct 18, 2017
      • Pension plan clients · unset to 0.0
        Aug 1, 2016 to Oct 18, 2017
      • Pooled vehicle clients · unset to 1.0
        Aug 1, 2016 to Oct 18, 2017
      • Assets in custody · unset to 0.0
        Aug 1, 2016 to Oct 18, 2017
      • Custody of client assets · false to true
        Aug 1, 2016 to Oct 18, 2017
      • Other offices · unset to 0.0
        Aug 1, 2016 to Oct 18, 2017
      • Private funds · unset to 1
        Aug 1, 2016 to Oct 18, 2017
      • Discretionary RAUM · unset to 20893168.0
        Aug 1, 2016 to Oct 18, 2017
      • HNW RAUM · unset to 0.0
        Aug 1, 2016 to Oct 18, 2017
      • Individual RAUM · unset to 0.0
        Aug 1, 2016 to Oct 18, 2017
      • Non-discretionary RAUM · unset to 0.0
        Aug 1, 2016 to Oct 18, 2017
      • Pension RAUM · unset to 0.0
        Aug 1, 2016 to Oct 18, 2017
      • Pooled vehicle RAUM · unset to 20893168.0
        Aug 1, 2016 to Oct 18, 2017
      • RAUM · unset to 20893168.0
        Aug 1, 2016 to Oct 18, 2017
      • Related adviser · false to true
        Aug 1, 2016 to Oct 18, 2017
      Signals
      1 dated events
      • J• L•••• M••••••••• P••••••• L•• filed its initial SEC registration (Form ADV)
        Aug 1, 2016 · First SEC registration · fact
      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