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Former SEC-registered adviser

J••• P•••• A•••••••• L••

Former SEC-registered adviserCRD 289426SEC 801-112092IAPD
Latest filing Aug 20, 2019
First filing on the tape Oct 30, 2017 · 9 filings
RAUM
$67.4M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$67.4M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$67.4M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$95.0M as of Mar 5, 2019
Mar 5, 2018$115M then
HNW client RAUM$94.3M as of Mar 5, 2019
Mar 5, 2018$114M then
State-registered IARs (5.B.3)1 as of Mar 5, 2019
Mar 5, 20181 then
Employees (5.A)2 as of Mar 5, 2019
Mar 5, 20182 then
Private funds: no history
RAUM -41% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Aug 20, 2019; every figure names its basis
RAUM per advisor
$67.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$9.3MderivedHNW RAUM over HNW clients
Average account
$1.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-17%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Custody
$5.0M, 1 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$65.0M96%
  • Individuals$2.4M3.6%
Individual clients
n/areported
HNW clients
7reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
52reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$5.0M for 1 clientsreported
Compensation
% of AUM, fixed, hourlyreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
J•••• P••••• B•••••••Certified Financial PlannerNovato, CaMar 14, 202427 y0
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••••• J••••• P••••• · Managing Member & Chief Compliance Officercontrol
        since 11/2017 · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 48 to 52
        Jun 27, 2019 to Aug 20, 2019
      • HNW clients · 12 to 7
        Jun 27, 2019 to Aug 20, 2019
      • Employees · 2 to 1
        Jun 27, 2019 to Aug 20, 2019
      • Discretionary RAUM · $95.0M to $67.4M
        Jun 27, 2019 to Aug 20, 2019
      • HNW RAUM · $94.3M to $65.0M
        Jun 27, 2019 to Aug 20, 2019
      • Individual RAUM · $700,000 to $2.4M
        Jun 27, 2019 to Aug 20, 2019
      • RAUM · $95.0M to $67.4M
        Jun 27, 2019 to Aug 20, 2019
      • Accounts · 50 to 48
        Oct 4, 2018 to Mar 5, 2019
      • HNW clients · 9 to 12
        Oct 4, 2018 to Mar 5, 2019
      • Individual clients · 2.0 to unset
        Oct 4, 2018 to Mar 5, 2019
      • Assets in custody · unset to 5000000.0
        Oct 4, 2018 to Mar 5, 2019
      • Custody of client assets · false to true
        Oct 4, 2018 to Mar 5, 2019
      • Discretionary RAUM · $115M to $95.0M
        Oct 4, 2018 to Mar 5, 2019
      • HNW RAUM · $114M to $94.3M
        Oct 4, 2018 to Mar 5, 2019
      • Individual RAUM · $1.5M to $700,000
        Oct 4, 2018 to Mar 5, 2019
      • RAUM · $115M to $95.0M
        Oct 4, 2018 to Mar 5, 2019
      • HQ city · SOUTHPORT to unset
        Mar 5, 2018 to Oct 4, 2018
      • HQ state · CT to unset
        Mar 5, 2018 to Oct 4, 2018
      • Accounts · 24 to 50
        Dec 14, 2017 to Mar 5, 2018
      • Individual clients · unset to 2.0
        Dec 14, 2017 to Mar 5, 2018
      • Discretionary RAUM · $101M to $115M
        Dec 14, 2017 to Mar 5, 2018
      • HNW RAUM · $101M to $114M
        Dec 14, 2017 to Mar 5, 2018
      • Individual RAUM · unset to 1500000.0
        Dec 14, 2017 to Mar 5, 2018
      • RAUM · $101M to $115M
        Dec 14, 2017 to Mar 5, 2018
      • Accounts · 0 to 24
        Dec 1, 2017 to Dec 14, 2017
      • HNW clients · unset to 9.0
        Dec 1, 2017 to Dec 14, 2017
      • Employees · 1 to 2
        Dec 1, 2017 to Dec 14, 2017
      • Other offices · 0 to 1
        Dec 1, 2017 to Dec 14, 2017
      • Discretionary RAUM · $0 to $101M
        Dec 1, 2017 to Dec 14, 2017
      • HNW RAUM · unset to 101462125.0
        Dec 1, 2017 to Dec 14, 2017
      • RAUM · $0 to $101M
        Dec 1, 2017 to Dec 14, 2017
      • Business name · J••• P•••• A•••• M••••••••• L•• to J••• P•••• A•••••••• L••
        Oct 30, 2017 to Oct 30, 2017
      • Legal name · J••• P•••• A•••• M••••••••• L•• to J••• P•••• A•••••••• L••
        Oct 30, 2017 to Oct 30, 2017
      Signals
      2 dated events
      • Ann Taylor Baldwin (Chief Compliance Officer) no longer on Schedule A of J••• P•••• A•••••••• L•• (listed 2019-03-05, absent 2019-06-27)
        Jun 27, 2019 · Control person left · inference
      • J••• P•••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Oct 30, 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.
      How to reach
      public business contact points only, each with its source
      Website
      J•••P••••ADVISORS.COMreportedpublic record, Form ADV, Sep 21, 2026
      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
      $67.4Mderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026