DFX Intelligence
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Former SEC-registered adviser
J•• C•••••• M•••••••••
Legal name J•• C•••••• M••••••••• L••
Latest filing May 19, 2026
First filing on the tape May 23, 2024 · 5 filings
SEC status approved since Jun 21, 2024
RAUM
$13.2M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
51%
$6.8M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$13.2M
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$13.2M as of May 19, 2026
Mar 17, 2025$109M then
HNW client RAUM$6.8M as of May 19, 2026
Mar 17, 2025$85.8M then
State-registered IARs (5.B.3)1 as of May 19, 2026
Mar 17, 20251 then
Employees (5.A)1 as of May 19, 2026
Mar 17, 20251 then
Private funds1 as of May 19, 2026
Mar 17, 20251 then
RAUM -88% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of May 19, 2026; every figure names its basis
- RAUM per advisor
- $13.2MderivedRAUM 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
- $2.6MderivedRAUM 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
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -56%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, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, otherreportedItem 5.G
- Custody
- $6.5M, 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$6.8M51%
- Pooled investment vehicles$6.5M49%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 5reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $6.5M for 1 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- absent from the latest SEC rosterderived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| D••••• J•• B•••••Chartered Financial Analyst | Steamboat Springs, Co | Jun 14, 2019 | 18 y | 0 |
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
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| J•• C•••••• F•••• L• | Hedge Fund | $0 | 0 | May 23, 2024 |
Owners and control persons
Schedule A and B, latest filing
- B•••••• D•••••• J•• · Managing Member/Chief Compliance Officercontrolsince 06/2019 · owns 75% or more
Related persons
Schedule D 7.A
- J•• C•••••• G•• L••investment adviserbankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 8 to 5Mar 31, 2026 to May 19, 2026
- Assets in custody · $6.5M to $6.5MMar 31, 2026 to May 19, 2026
- HQ city · to STEAMBOAT SPRINGSMar 31, 2026 to May 19, 2026
- HQ state · to COMar 31, 2026 to May 19, 2026
- Discretionary RAUM · $48.2M to $13.2MMar 31, 2026 to May 19, 2026
- HNW RAUM · $36.0M to $6.8MMar 31, 2026 to May 19, 2026
- Pooled vehicle RAUM · $6.5M to $6.5MMar 31, 2026 to May 19, 2026
- RAUM · $48.2M to $13.2MMar 31, 2026 to May 19, 2026
- Assets in custody · $0 to $6.5MJul 25, 2025 to Mar 31, 2026
- Discretionary RAUM · $109M to $48.2MJul 25, 2025 to Mar 31, 2026
- HNW RAUM · $85.8M to $36.0MJul 25, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $0 to $6.5MJul 25, 2025 to Mar 31, 2026
- RAUM · $109M to $48.2MJul 25, 2025 to Mar 31, 2026
- Financial planning clients · unset to Mar 17, 2025 to Jul 25, 2025
- Accounts · 7 to 8May 23, 2024 to Mar 17, 2025
- HQ city · unset to May 23, 2024 to Mar 17, 2025
- HQ state · unset to May 23, 2024 to Mar 17, 2025
- Discretionary RAUM · $131M to $109MMay 23, 2024 to Mar 17, 2025
- HNW RAUM · $106M to $85.8MMay 23, 2024 to Mar 17, 2025
- RAUM · $131M to $109MMay 23, 2024 to Mar 17, 2025
Signals
2 dated events
- J•• C•••••• M••••••••• no longer on the SEC adviser roster (last listed 2026-06-01, RAUM $13.2M)Jul 1, 2026 · Left the SEC roster · derived
- J•• C•••••• M••••••••• filed its initial SEC registration (Form ADV)May 23, 2024 · 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
- $13.2Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026