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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SEC-registered adviser
J•••••••• R••••••• S••••••• L••
Latest filing Feb 27, 2026
First filing on the tape Feb 28, 2018 · 21 filings
SEC status approved since Mar 30, 2018
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
248
221 advisory (5.B.1)
Offices
7
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$0 as of Feb 27, 2026
Feb 28, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Feb 27, 2026
Feb 12, 20190 then
Employees (5.A)248 as of Feb 27, 2026
Feb 12, 2019154 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 4offices 6 to 7
Practice profile
derived from the filing of Feb 27, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- RAUM per advisor
- $0derivedRAUM 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
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 62.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived8 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
- fixed fees, subscription, otherreportedItem 5.E
- Advisory activities
- otherreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 0reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- fixedreported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=241.0derived
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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••• A•••••• M••• · Chief Operating Officercontrolsince 07/2020 · owns less than 5%
- E•••••••• M••••••• N•••••• · President, Chief Executive Officer & Managing Director Of Americas R•••••••controlsince 12/2017 · owns less than 5%
- S•••••• L••••• A• · Chief Compliance Officercontrolsince 09/2024 · owns less than 5%
- B•••••• J•••••• · Principal Accounting Officersince 10/2020 · owns less than 5%
- L•••••••• S••••• H•• · Secretarysince 12/2017 · owns less than 5%
Entity owners
- J•••••••• F•••••••• G•••• I••• · Direct Ownerdirect · owns 75% or more · public reporting company
Related persons
Schedule D 7.A
- J•••••••• ••••••••• S••••••••• P•• L••broker-dealerinvestment advisern
- J•••••••• •••••• L•••••• T•••• B•••••broker-dealerinvestment advisern
- J•••••••• G•••broker-dealern
- J•••••••• H••• K••• L••••••broker-dealerinvestment advisern
- J•••••••• I•••• P•••••• L••••••broker-dealerinvestment advisern
- J•••••••• I••••••••• L••••••broker-dealerinvestment advisern
- J•••••••• I••••••••• A••••••• L••investment advisernRAUM $5.2B
- J•••••••• L••broker-dealerbanktrust companyn
- J•••••••• S•••••••• L••••••broker-dealerinvestment advisern
- L••••••• A•••• M••••••••• L••investment adviserbankpooled vehicle sponsornRAUM $3.1B
- M• S•••••• H••• K••• L••••••broker-dealern
Advisers that list J•••••••• R••••••• S••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
- San Francisco, CA26 employees
- Boston, MA9 employees
- Chicago, IL8 employees
- Nashville, TN6 employees
- Houston, TX5 employees
- Miami, FL5 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- unusual affiliate densityStatic outlier · filing Feb 27, 2026distinct affiliate types checked on Item 7.A of 6.0 against a peer median of 2.0 (176 comparable advisers, 98.0th percentile, 5.4 robust deviations)peers: other advisers, under $100M (176) · 98% percentile
What changed
consecutive filings, newest first
- BD registered reps · 221 to 241Feb 28, 2025 to Feb 27, 2026
- Employees · 221 to 248Feb 28, 2025 to Feb 27, 2026
- Insurance-licensed employees · 0 to 4Feb 28, 2025 to Feb 27, 2026
- State-registered IARs · 0 to 4Feb 28, 2025 to Feb 27, 2026
- Other offices · 6 to 7Feb 28, 2025 to Feb 27, 2026
- Accounts · unset to 0.0Oct 2, 2024 to Feb 28, 2025
- Advisory employees · 248 to 221Oct 2, 2024 to Feb 28, 2025
- BD registered reps · 248 to 221Oct 2, 2024 to Feb 28, 2025
- Employees · 248 to 221Oct 2, 2024 to Feb 28, 2025
- Financial planning clients · unset to Oct 2, 2024 to Feb 28, 2025
- Discretionary RAUM · unset to 0.0Oct 2, 2024 to Feb 28, 2025
- Non-discretionary RAUM · unset to 0.0Oct 2, 2024 to Feb 28, 2025
- RAUM · unset to 0.0Oct 2, 2024 to Feb 28, 2025
- Other offices · 5 to 6Feb 28, 2024 to Jul 24, 2024
- Advisory employees · 242 to 248Mar 6, 2023 to Feb 28, 2024
- BD registered reps · 242 to 248Mar 6, 2023 to Feb 28, 2024
- Employees · 242 to 248Mar 6, 2023 to Feb 28, 2024
- Advisory employees · 222 to 242Nov 4, 2022 to Feb 22, 2023
- BD registered reps · 187 to 242Nov 4, 2022 to Feb 22, 2023
- Employees · 222 to 242Nov 4, 2022 to Feb 22, 2023
- Other offices · 8 to 5Nov 4, 2022 to Feb 22, 2023
- Advisory employees · 202 to 222Mar 17, 2021 to Feb 28, 2022
- BD registered reps · 193 to 187Mar 17, 2021 to Feb 28, 2022
- Employees · 202 to 222Mar 17, 2021 to Feb 28, 2022
- Other offices · 7 to 8Mar 17, 2021 to Feb 28, 2022
- Advisory employees · 144 to 202Oct 15, 2020 to Mar 1, 2021
- BD registered reps · 152 to 193Oct 15, 2020 to Mar 1, 2021
- Employees · 173 to 202Oct 15, 2020 to Mar 1, 2021
- Other offices · 5 to 7Oct 15, 2020 to Mar 1, 2021
- Advisory employees · 138 to 144Sep 6, 2019 to Feb 28, 2020
- BD registered reps · 151 to 152Sep 6, 2019 to Feb 28, 2020
- Employees · 154 to 173Sep 6, 2019 to Feb 28, 2020
- Advisory employees · 145 to 138Jun 15, 2018 to Feb 12, 2019
- BD registered reps · 145 to 151Jun 15, 2018 to Feb 12, 2019
- Employees · 149 to 154Jun 15, 2018 to Feb 12, 2019
Signals
6 dated events
- Sofia Logue (Chief Compliance Officer) no longer on Schedule A of J•••••••• R••••••• S••••••• L•• (listed 2024-07-24, absent 2024-10-02)Oct 2, 2024 · Control person left · inference
- A Lauri Scoran (Chief Compliance Officer) appeared on Schedule A of J•••••••• R••••••• S••••••• L••Oct 2, 2024 · Control person joined · fact
- Cindy Du (Chief Operating Officer) no longer on Schedule A of J•••••••• R••••••• S••••••• L•• (listed 2020-05-27, absent 2020-07-15)Jul 15, 2020 · Control person left · inference
- Mary Alanna Crank (Chief Operating Officer) appeared on Schedule A of J•••••••• R••••••• S••••••• L••Jul 15, 2020 · Control person joined · fact
- C Peregrine Broadbent (Chief Financial Officer) no longer on Schedule A of J•••••••• R••••••• S••••••• L•• (listed 2020-02-28, absent 2020-05-12)May 12, 2020 · Control person left · inference
- J•••••••• R••••••• S••••••• L•• filed its initial SEC registration (Form ADV)Feb 28, 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.
How to reach
public business contact points only, each with its source
- Website
- jefferies.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-284-2300reportedpublic record, Form ADV, Feb 27, 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
- No RAUM reportedderiveda 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