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
J••••••• A•••• M•••••••••
Legal name J••••••• A•••• M••••••••• L••
Latest filing Mar 18, 2024
First filing on the tape Dec 18, 2019 · 9 filings
SEC status approved since Jan 23, 2020
RAUM
$363M
reported, Item 5.F
Discretionary
97%
of RAUM
Private clients
99%
$361M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
6
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$363M as of Mar 18, 2024
Mar 29, 2021$664,285 then
HNW client RAUM$327M as of Mar 18, 2024
Mar 31, 2022$294M then
State-registered IARs (5.B.3)5 as of Mar 18, 2024
Mar 30, 20205 then
Employees (5.A)6 as of Mar 18, 2024
Mar 30, 20205 then
Private funds: no history
RAUM +2.7% over the last fiscal year+718% a year over threeIARs 5 to 5
Practice profile
derived from the filing of Mar 18, 2024; every figure names its basis
- RAUM per advisor
- $72.7MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 79derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.0MderivedHNW RAUM over HNW clients
- Average account
- $412,988derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 0.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.2derivedItem 5.A over advisors
- Advisors per office
- 5.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +2.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +7.0%derived
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$327M90%
- Individuals$34.4M9.5%
- Pension and profit-sharing plans$2.2M0.6%
- Individual clients
- 233reported
- HNW clients
- 162reported
- Pension plan clients
- 3reported
- Charitable clients
- n/areported
- Accounts
- 880reported
- Financial planning clients
- 0reported
- 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
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
- B•••••• J•••• A••••• · Chief Compliance Officercontrolsince 10/2019 · owns less than 5%
- B•••••• J•••• A••••• · Ownercontrolsince 03/2018 · owns 25% to 50% of J•••••••• I•••
- H•••••• B••••••• J•••• · Ownercontrolsince 03/2018 · owns 25% to 50% of J•••••••• I•••
- R•••••••• B••••• S•••• · Ownercontrolsince 03/2018 · owns 50% to 75% of J•••••••• I•••
Entity owners
- J•••••••• I••• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- J••••••• W••••• S••••••••• L••investment advisernRAUM $474M
Advisers that list J••••••• A•••• M••••••••• as a related person
- 298110 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 941 to 880Mar 28, 2023 to Mar 18, 2024
- Corporate clients · 3.0 to unsetMar 28, 2023 to Mar 18, 2024
- HNW clients · 149 to 162Mar 28, 2023 to Mar 18, 2024
- Individual clients · 220 to 233Mar 28, 2023 to Mar 18, 2024
- Pension plan clients · 5 to 3Mar 28, 2023 to Mar 18, 2024
- Discretionary RAUM · $334M to $353MMar 28, 2023 to Mar 18, 2024
- HNW RAUM · $311M to $327MMar 28, 2023 to Mar 18, 2024
- Individual RAUM · $38.5M to $34.4MMar 28, 2023 to Mar 18, 2024
- Non-discretionary RAUM · $19.9M to $10.9MMar 28, 2023 to Mar 18, 2024
- Pension RAUM · $3.7M to $2.2MMar 28, 2023 to Mar 18, 2024
- RAUM · $354M to $363MMar 28, 2023 to Mar 18, 2024
- Accounts · 708 to 941Mar 31, 2022 to Mar 28, 2023
- Corporate clients · 1 to 3Mar 31, 2022 to Mar 28, 2023
- HNW clients · 142 to 149Mar 31, 2022 to Mar 28, 2023
- Individual clients · 182 to 220Mar 31, 2022 to Mar 28, 2023
- State-registered IARs · 6 to 5Mar 31, 2022 to Mar 28, 2023
- Discretionary RAUM · $319M to $334MMar 31, 2022 to Mar 28, 2023
- HNW RAUM · $294M to $311MMar 31, 2022 to Mar 28, 2023
- Individual RAUM · $36.7M to $38.5MMar 31, 2022 to Mar 28, 2023
- Non-discretionary RAUM · $16.2M to $19.9MMar 31, 2022 to Mar 28, 2023
- Pension RAUM · $4.0M to $3.7MMar 31, 2022 to Mar 28, 2023
- RAUM · $335M to $354MMar 31, 2022 to Mar 28, 2023
- Accounts · 3 to 708Sep 3, 2021 to Mar 31, 2022
- Corporate clients · unset to 1.0Sep 3, 2021 to Mar 31, 2022
- HNW clients · unset to 142.0Sep 3, 2021 to Mar 31, 2022
- Individual clients · 2 to 182Sep 3, 2021 to Mar 31, 2022
- Pension plan clients · unset to 5.0Sep 3, 2021 to Mar 31, 2022
- Discretionary RAUM · $664,285 to $319MSep 3, 2021 to Mar 31, 2022
- HNW RAUM · unset to 293788674.0Sep 3, 2021 to Mar 31, 2022
- Individual RAUM · $664,285 to $36.7MSep 3, 2021 to Mar 31, 2022
- Non-discretionary RAUM · $0 to $16.2MSep 3, 2021 to Mar 31, 2022
- Pension RAUM · unset to 3978196.0Sep 3, 2021 to Mar 31, 2022
- RAUM · $664,285 to $335MSep 3, 2021 to Mar 31, 2022
- Accounts · unset to 3.0Jul 8, 2020 to Mar 29, 2021
- Advisory employees · 4 to 5Jul 8, 2020 to Mar 29, 2021
- Advisory activities · 2 to 1Jul 8, 2020 to Mar 29, 2021
- Individual clients · unset to 2.0Jul 8, 2020 to Mar 29, 2021
- Employees · 5 to 6Jul 8, 2020 to Mar 29, 2021
- State-registered IARs · 5 to 6Jul 8, 2020 to Mar 29, 2021
- Discretionary RAUM · unset to 664285.0Jul 8, 2020 to Mar 29, 2021
Signals
2 dated events
- J••••••• A•••• M••••••••• no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $363.4M)May 2, 2025 · Left the SEC roster · derived
- J••••••• A•••• M••••••••• filed its initial SEC registration (Form ADV)Dec 18, 2019 · 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