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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Former SEC-registered adviser
J••• C•••••• A•••••••• L••
Latest filing Mar 17, 2025
First filing on the tape Jun 29, 2021 · 6 filings
SEC status approved since Jul 29, 2021
RAUM
$180M
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
3
3 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$180M as of Mar 17, 2025
Mar 11, 2022$194M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 17, 2025
Mar 11, 20220 then
Employees (5.A)3 as of Mar 17, 2025
Mar 11, 20223 then
Private funds: no history
RAUM -10% over the last fiscal year-2.5% a year over threeIARs 0 to 0offices 0 to 1
Practice profile
derived from the filing of Mar 17, 2025; 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
- $180MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -10%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$180M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- 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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- M•••••• R•••••• V•••••• · Portfolio Manager/ Chief Compliance Officercontrolsince 10/2018 · owns 50% to 75%
- S••••••• J••••• F•••••• · Portfolio Managercontrolsince 10/2018 · 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
- Financial planning clients · unset to Mar 20, 2024 to Mar 17, 2025
- HQ city · unset to Mar 20, 2024 to Mar 17, 2025
- HQ state · unset to Mar 20, 2024 to Mar 17, 2025
- Other offices · 0 to 1Mar 20, 2024 to Mar 17, 2025
- Discretionary RAUM · $200M to $180MMar 20, 2024 to Mar 17, 2025
- Pooled vehicle RAUM · $200M to $180MMar 20, 2024 to Mar 17, 2025
- RAUM · $200M to $180MMar 20, 2024 to Mar 17, 2025
- Discretionary RAUM · $59.6M to $200MMar 28, 2023 to Mar 20, 2024
- Pooled vehicle RAUM · $59.6M to $200MMar 28, 2023 to Mar 20, 2024
- RAUM · $59.6M to $200MMar 28, 2023 to Mar 20, 2024
- Discretionary RAUM · $194M to $59.6MMar 11, 2022 to Mar 28, 2023
- Pooled vehicle RAUM · $194M to $59.6MMar 11, 2022 to Mar 28, 2023
- RAUM · $194M to $59.6MMar 11, 2022 to Mar 28, 2023
- HQ city · ESSEX FELLS to unsetNov 3, 2021 to Mar 11, 2022
- HQ state · NJ to unsetNov 3, 2021 to Mar 11, 2022
- Discretionary RAUM · $316M to $194MNov 3, 2021 to Mar 11, 2022
- Pooled vehicle RAUM · $316M to $194MNov 3, 2021 to Mar 11, 2022
- RAUM · $316M to $194MNov 3, 2021 to Mar 11, 2022
- HQ city · NEW YORK to ESSEX FELLSJun 29, 2021 to Nov 3, 2021
- HQ state · NY to NJJun 29, 2021 to Nov 3, 2021
Signals
5 dated events
- J••• C•••••• A•••••••• L•• no longer on the SEC adviser roster (last listed 2025-09-02, RAUM $179.9M)Dec 20, 2025 · Left the SEC roster · derived
- J••• C•••••• A•••••••• L•• reported RAUM $200.5M, up 236% from $59.6M (2023-03-28 to 2024-03-20)Mar 20, 2024 · RAUM change · derived
- J••• C•••••• A•••••••• L•• reported RAUM $59.6M, down 69% from $194.1M (2022-03-11 to 2023-03-28)Mar 28, 2023 · RAUM change · derived
- J••• C•••••• A•••••••• L•• reported RAUM $194.1M, down 39% from $316.3M (2021-11-03 to 2022-03-11)Mar 11, 2022 · RAUM change · derived
- J••• C•••••• A•••••••• L•• filed its initial SEC registration (Form ADV)Jun 29, 2021 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- J••• C•••••• A•••••••• L•• · Venture Capitalshared crd · organization
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