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••••••• W••••• S••••••••• L••
Latest filing Apr 27, 2018
First filing on the tape Apr 27, 2017 · 6 filings
RAUM
$227M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
99%
$225M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
7 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$227M as of Apr 27, 2018
Apr 27, 2017$193M then
HNW client RAUM$207M as of Apr 27, 2018
Mar 20, 2018$207M then
State-registered IARs (5.B.3)6 as of Apr 27, 2018
Apr 27, 20177 then
Employees (5.A)7 as of Apr 27, 2018
Apr 27, 20177 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Apr 27, 2018; every figure names its basis
- RAUM per advisor
- $37.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 44derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $462,449derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 3.0derived2 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
- percentage of assetsreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, pension consultingreportedItem 5.G
- Custody
- $227M, 269 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- 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
- High-net-worth individuals$207M91%
- Individuals$18.1M8.0%
- Pension and profit-sharing plans$1.3M0.6%
- Individual clients
- 161reported
- HNW clients
- 105reported
- Pension plan clients
- 3reported
- Charitable clients
- n/areported
- Accounts
- 490reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $227M for 269 clientsreported
- Compensation
- % of AUMreported
- 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
- J••• A••••• B••••• to H••••••• W••••• M••••••••• L••Nov 16, 2018 · Other
- C••••• P••••• S•••• to H••••••• W••••• M••••••••• L••Nov 16, 2018 · Other
- B•••• S•••• R••••••• to H••••••• W••••• M••••••••• L••Nov 16, 2018 · Other
- M•••••• B•••• F•••• to H••••••• F••••• O••••••• L••Aug 2, 2018 · RIA to a newly registered adviser
Joined, latest
- T•••• R••••• K••• from H••••••• W••••• M••••••••• L••Jan 17, 2018 · Other
- M•••••• B•••• F•••• from H••••••• W••••• M••••••••• L••Jul 24, 2017 · Other
- C••••• P••••• S•••• from A••••••••• F•••••••• S•••••••• L••Jun 28, 2017 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for H••••••• W••••• M••••••••• L••Nov 16, 2018 · S••••Sdale, Az
- 3 left for J••••••• W••••• S••••••••• L••Nov 16, 2018 · S••••Sdale, Az · Firm absorbed
- 4 joined from J••••••• W••••• S••••••••• L••Aug 17, 2017 · S••••Sdale, Az · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• J•••• A••••• · Chief Compliance Officercontrolsince 04/2017 · owns less than 5%
- B•••••• J•••• A••••• · Ownercontrolsince 03/2018 · owns 25% to 50% of J•••••••• I•••
- H•••••• B••••••• J•••• · Ownercontrolsince 03/2018 · owns 25% to 50% of J•••••••• I•••
- R•••••••• B••••• S•••• · Ownercontrolsince 03/2018 · owns 50% to 75% of J•••••••• I•••
Entity owners
- J•••••••• I••• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Lancaster, OH1 employees
What changed
consecutive filings, newest first
- Succession · false to trueMar 20, 2018 to Apr 27, 2018
- Other offices · 3 to 1Apr 27, 2018 to Apr 27, 2018
- Related adviser · true to falseApr 27, 2018 to Apr 27, 2018
- Related insurance company · true to falseApr 27, 2018 to Apr 27, 2018
- Succession · true to falseApr 27, 2018 to Apr 27, 2018
- Accounts · 323 to 490Aug 24, 2017 to Mar 20, 2018
- BD registered reps · 2 to 0Aug 24, 2017 to Mar 20, 2018
- HNW clients · unset to 105.0Aug 24, 2017 to Mar 20, 2018
- Individual clients · unset to 161.0Aug 24, 2017 to Mar 20, 2018
- Pension plan clients · unset to 3.0Aug 24, 2017 to Mar 20, 2018
- Assets in custody · unset to 226600000.0Aug 24, 2017 to Mar 20, 2018
- Custody of client assets · false to trueAug 24, 2017 to Mar 20, 2018
- Insurance-licensed employees · 0 to 4Aug 24, 2017 to Mar 20, 2018
- State-registered IARs · 7 to 6Aug 24, 2017 to Mar 20, 2018
- Other offices · unset to 3.0Aug 24, 2017 to Mar 20, 2018
- Discretionary RAUM · $193M to $227MAug 24, 2017 to Mar 20, 2018
- HNW RAUM · unset to 207200000.0Aug 24, 2017 to Mar 20, 2018
- Individual RAUM · unset to 18100000.0Aug 24, 2017 to Mar 20, 2018
- Pension RAUM · unset to 1300000.0Aug 24, 2017 to Mar 20, 2018
- RAUM · $193M to $227MAug 24, 2017 to Mar 20, 2018
- Related adviser · false to trueJun 28, 2017 to Aug 24, 2017
- Related insurance company · false to trueJun 28, 2017 to Aug 24, 2017
- Succession · true to falseApr 27, 2017 to Jun 28, 2017
Signals
2 dated events
- J••••••• W••••• S••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Apr 27, 2017 · Succession (Item 4) · fact
- J••••••• W••••• S••••••••• L•• filed its initial SEC registration (Form ADV)Apr 27, 2017 · 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