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

O•••• V••• A•••••••

Former SEC-registered adviserCRD 291479SEC 801-112266IAPD
Legal name J•• M••••••••• I••
Latest filing Jun 4, 2018
First filing on the tape Dec 7, 2017 · 5 filings
RAUM
$54.0M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
99%
$53.3M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$54.0M as of Jun 4, 2018
Dec 7, 2017$0 then
HNW client RAUM$0 as of Jun 4, 2018
Apr 10, 2018$0 then
State-registered IARs (5.B.3)2 as of Jun 4, 2018
Dec 7, 20172 then
Employees (5.A)2 as of Jun 4, 2018
Dec 7, 20172 then
Private funds: no history
Practice profile
derived from the filing of Jun 4, 2018; every figure names its basis
RAUM per advisor
$27.0MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
52derivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$519,206derivedRAUM over accounts (5.F.2.f)
Discretionary
99%derivedof RAUM
Institutional
1.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 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
portfolio management for individualsreportedItem 5.G
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$53.3M99%
  • Pension and profit-sharing plans$661,6411.2%
Individual clients
103reported
HNW clients
0reported
Pension plan clients
1reported
Charitable clients
0reported
Accounts
104reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • L•••••• L••••• E••••••• · Ccocontrol
    since 01/2018 · owns 50% to 75%
  • M••••••••• J••• C•••• · Principalcontrol
    since 01/2018 · owns 50% to 75%
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
  • Advisory activities · 2 to 1
    Apr 23, 2018 to Jun 4, 2018
  • Financial planning clients · 0 to unset
    Apr 23, 2018 to Jun 4, 2018
  • Accounts · 89 to 104
    Apr 10, 2018 to Apr 23, 2018
  • Individual clients · 88 to 103
    Apr 10, 2018 to Apr 23, 2018
  • Discretionary RAUM · $48.6M to $53.3M
    Apr 10, 2018 to Apr 23, 2018
  • Individual RAUM · $48.6M to $53.3M
    Apr 10, 2018 to Apr 23, 2018
  • Non-discretionary RAUM · $648,340 to $661,641
    Apr 10, 2018 to Apr 23, 2018
  • Pension RAUM · $648,340 to $661,641
    Apr 10, 2018 to Apr 23, 2018
  • RAUM · $49.3M to $54.0M
    Apr 10, 2018 to Apr 23, 2018
  • Succession · true to false
    Apr 10, 2018 to Apr 23, 2018
  • Accounts · 0 to 89
    Dec 20, 2017 to Apr 10, 2018
  • Charity clients · unset to 0.0
    Dec 20, 2017 to Apr 10, 2018
  • Corporate clients · unset to 0.0
    Dec 20, 2017 to Apr 10, 2018
  • HNW clients · unset to 0.0
    Dec 20, 2017 to Apr 10, 2018
  • Individual clients · unset to 88.0
    Dec 20, 2017 to Apr 10, 2018
  • Pension plan clients · unset to 1.0
    Dec 20, 2017 to Apr 10, 2018
  • Pooled vehicle clients · unset to 0.0
    Dec 20, 2017 to Apr 10, 2018
  • Insurance-licensed employees · 2 to 0
    Dec 20, 2017 to Apr 10, 2018
  • Discretionary RAUM · $0 to $48.6M
    Dec 20, 2017 to Apr 10, 2018
  • HNW RAUM · unset to 0.0
    Dec 20, 2017 to Apr 10, 2018
  • Individual RAUM · unset to 48619881.0
    Dec 20, 2017 to Apr 10, 2018
  • Non-discretionary RAUM · $0 to $648,340
    Dec 20, 2017 to Apr 10, 2018
  • Pension RAUM · unset to 648340.0
    Dec 20, 2017 to Apr 10, 2018
  • Pooled vehicle RAUM · unset to 0.0
    Dec 20, 2017 to Apr 10, 2018
  • RAUM · $0 to $49.3M
    Dec 20, 2017 to Apr 10, 2018
  • Succession · false to true
    Dec 20, 2017 to Apr 10, 2018
  • HQ city · DAGSBORO to unset
    Dec 7, 2017 to Dec 20, 2017
  • HQ state · DE to unset
    Dec 7, 2017 to Dec 20, 2017
Signals
2 dated events
  • O•••• V••• A••••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
    Apr 10, 2018 · Succession (Item 4) · fact
  • O•••• V••• A••••••• filed its initial SEC registration (Form ADV)
    Dec 7, 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