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••••• A•••• M••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 285505SEC 801-113353IAPD
Latest filing Feb 10, 2022
First filing on the tape May 2, 2018 · 15 filings
RAUM
$7.6M
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
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$26.5M gross assets
History
15 filings and snapshots on the tape
RAUM$25.5M as of Mar 27, 2021
May 2, 2019$25.0M then
HNW client RAUM$0 as of Mar 27, 2021
Mar 24, 2020$0 then
State-registered IARs (5.B.3)0 as of Mar 27, 2021
May 2, 20190 then
Employees (5.A)4 as of Mar 27, 2021
May 2, 20197 then
Private funds2 as of Mar 27, 2021
May 2, 20191 then
RAUM -78% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Feb 10, 2022; 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
$3.8MderivedRAUM 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
-25%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 pooled vehiclesreportedItem 5.G
Custody
$14.5M, 5 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$7.6M100%
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
$14.5M for 5 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••••• G••••• I••••••••• M••••• F•••Hedge Fund$23.5M3Nov 14, 2019
      J••••• C••••• L•Hedge Fund$3.0M3May 2, 2018
      Owners and control persons
      Schedule A and B, latest filing
      • J••••• X•••••• · Managing Member/Ccocontrol
        since 04/2018 · owns 5% to 10%
      • S••• M•• · Managing Membercontrol
        since 04/2018 · owns 10% to 25%
      • W•••• Y••••• · Managing Membercontrol
        since 04/2018 · owns 10% to 25%
      • O•••••• X••••• · Member
        since 04/2018 · owns 25% to 50%
      Entity owners
      • O••••• Q• L•• · Member
        direct · owns 25% to 50%
      Related persons
      Schedule D 7.A
      • J••••• C•••••• I••••••••• L•••
        investment advisern
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Pooled vehicle clients · 5 to 2
        Sep 7, 2021 to Oct 27, 2021
      • Discretionary RAUM · $25.5M to $7.6M
        Sep 7, 2021 to Oct 27, 2021
      • Pooled vehicle RAUM · $25.5M to $7.6M
        Sep 7, 2021 to Oct 27, 2021
      • RAUM · $25.5M to $7.6M
        Sep 7, 2021 to Oct 27, 2021
      • Assets in custody · $34.0M to $14.5M
        Jul 15, 2020 to Mar 27, 2021
      • Discretionary RAUM · $34.0M to $25.5M
        Jul 15, 2020 to Mar 27, 2021
      • Pooled vehicle RAUM · $34.0M to $25.5M
        Jul 15, 2020 to Mar 27, 2021
      • RAUM · $34.0M to $25.5M
        Jul 15, 2020 to Mar 27, 2021
      • Employees · 2 to 4
        Apr 15, 2020 to Apr 17, 2020
      • Advisory employees · 3 to 2
        Mar 24, 2020 to Apr 15, 2020
      • Employees · 5 to 2
        Mar 24, 2020 to Apr 15, 2020
      • Charity clients · unset to 0.0
        Nov 14, 2019 to Mar 24, 2020
      • Corporate clients · unset to 0.0
        Nov 14, 2019 to Mar 24, 2020
      • HNW clients · unset to 0.0
        Nov 14, 2019 to Mar 24, 2020
      • Individual clients · unset to 0.0
        Nov 14, 2019 to Mar 24, 2020
      • Pension plan clients · unset to 0.0
        Nov 14, 2019 to Mar 24, 2020
      • Pooled vehicle clients · 2 to 5
        Nov 14, 2019 to Mar 24, 2020
      • Assets in custody · $29.0M to $34.0M
        Nov 14, 2019 to Mar 24, 2020
      • Discretionary RAUM · $32.0M to $34.0M
        Nov 14, 2019 to Mar 24, 2020
      • HNW RAUM · unset to 0.0
        Nov 14, 2019 to Mar 24, 2020
      • Individual RAUM · unset to 0.0
        Nov 14, 2019 to Mar 24, 2020
      • Pension RAUM · unset to 0.0
        Nov 14, 2019 to Mar 24, 2020
      • Pooled vehicle RAUM · $32.0M to $34.0M
        Nov 14, 2019 to Mar 24, 2020
      • RAUM · $32.0M to $34.0M
        Nov 14, 2019 to Mar 24, 2020
      • Advisory employees · 5 to 3
        May 2, 2019 to Nov 14, 2019
      • Assets in custody · $25.0M to $29.0M
        May 2, 2019 to Nov 14, 2019
      • Employees · 7 to 5
        May 2, 2019 to Nov 14, 2019
      • Private funds · 1 to 2
        May 2, 2019 to Nov 14, 2019
      • Discretionary RAUM · $25.0M to $32.0M
        May 2, 2019 to Nov 14, 2019
      • Pooled vehicle RAUM · $25.0M to $32.0M
        May 2, 2019 to Nov 14, 2019
      • RAUM · $25.0M to $32.0M
        May 2, 2019 to Nov 14, 2019
      • Accounts · 1 to 2
        Sep 18, 2018 to Mar 22, 2019
      • Pooled vehicle clients · 1 to 2
        Sep 18, 2018 to Mar 22, 2019
      • Assets in custody · $37.0M to $25.0M
        Sep 18, 2018 to Mar 22, 2019
      • Discretionary RAUM · $37.0M to $25.0M
        Sep 18, 2018 to Mar 22, 2019
      • Pooled vehicle RAUM · $37.0M to $25.0M
        Sep 18, 2018 to Mar 22, 2019
      • RAUM · $37.0M to $25.0M
        Sep 18, 2018 to Mar 22, 2019
      Signals
      1 dated events
      • J••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        May 2, 2018 · 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