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•••••• S•••••••• W••••• L••

Former SEC-registered adviserSummit, New JerseyCRD 310648SEC 801-119925websiteIAPD
Latest filing Mar 19, 2026
First filing on the tape Nov 5, 2020 · 31 filings
SEC status approved since Dec 7, 2020
RAUM
$4.6B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$4.6B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
31
21 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$4.6B as of Mar 19, 2026
Jan 5, 2021$0 then
HNW client RAUM$4.4B as of Mar 19, 2026
Mar 27, 2022$2.5B then
State-registered IARs (5.B.3)17 as of Mar 19, 2026
Jan 5, 20211 then
Employees (5.A)31 as of Mar 19, 2026
Jan 5, 20213 then
Private funds: no history
RAUM +23% over the last fiscal year+19% a year over threeIARs 18 to 17
Practice profile
derived from the filing of Mar 19, 2026; every figure names its basis
RAUM per advisor
$273MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
56derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$11.2MderivedHNW RAUM over HNW clients
Average account
$1.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.8derivedItem 5.A over advisors
Advisors per office
2.8derived6 offices incl. principal (1.F.5)
RAUM growth, one year
+23%derivedbetween the last two annual amendments
Advisor growth, one year
-5.6%derivedItem 5.B.3 between annual amendments
Client growth, one year
+4.1%derived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
Financial planning clients
696reportedItem 5.H
Custody
$1.8B, 566 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)
  • has custody of client cash or bank accounts (9.A.1.a)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$4.4B94%
  • Individuals$194M4.2%
  • Corporations and businesses$52.0M1.1%
  • Charitable organizations$20.0M0.4%
Individual clients
558reported
HNW clients
392reported
Pension plan clients
n/areported
Charitable clients
7reported
Accounts
3,600reported
Financial planning clients
696reported
Wrap fee programs
noreported
Custody of client assets
$1.8B for 566 clientsreported
Compensation
% of AUM, fixed, hourlyreported
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
16 left, 0 joined in 12 months
net -16 in 12 months0 left in 90 days0 joined in 90 days17 left over 36 months
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
Teams outTeams in
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • B••••• M••••••• C•••••• · Managing Partner, Co-Founder, And Financial Advisorcontrol
    since 11/2020 · owns less than 5%
  • F••••• B••••• R• · Managing Partner, Co-Founder, And Financial Advisorcontrol
    since 11/2020 · owns less than 5%
  • P•••••••• P••••• A•••••••• · Member, Co-Founder, President, And Ccocontrol
    since 11/2020 · owns less than 5%
  • B••••••• C••••••• F••••••• · Membercontrol
    since 06/2023 · owns F of J•••••• S•••••••• H••••••• L••
  • B••••• M••••••• C•••••• · Member / Managercontrol
    since 11/2020 · owns F of J•••••• S•••••••• H••••••• L••
  • F••••• B••••• R• · Member / Managercontrol
    since 11/2020 · owns F of J•••••• S•••••••• H••••••• L••
  • P•••••••• P••••• A•••••••• · Member / Managercontrol
    since 11/2020 · owns F of J•••••• S•••••••• H••••••• L••
Entity owners
  • J•••••• S•••••••• H••••••• L•• · Managing Member
    direct · owns 75% or more
  • E•••••• J•••••• M••••••••• L•• · Member
    indirect · owns F of J•••••• S•••••••• H••••••• L••
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Alamo, Ca0031
Boynton Beach, Fl001
Midway, Ut001
San Clemente, Ca001
St Louis Park, Mn001
Summit, Nj · principal0061
Tampa, Fl0011
Seattle, Wa001
West Palm Beach, Fl001
Offices
Schedule D 1.F, the 25 largest
  • Alamo, CA3 employees
  • Richmond, VA3 employees
  • Colorado Springs, CO2 employees
  • Minneapolis, MN2 employees
  • Tampa, FL2 employees
What changed
consecutive filings, newest first
  • Accounts · 3,304 to 3,600
    Nov 11, 2025 to Mar 19, 2026
  • Advisory employees · 20 to 21
    Nov 11, 2025 to Mar 19, 2026
  • HNW clients · 333 to 392
    Nov 11, 2025 to Mar 19, 2026
  • Individual clients · 580 to 558
    Nov 11, 2025 to Mar 19, 2026
  • Assets in custody · $1.3B to $1.8B
    Nov 11, 2025 to Mar 19, 2026
  • Employees · 30 to 31
    Nov 11, 2025 to Mar 19, 2026
  • State-registered IARs · 18 to 17
    Nov 11, 2025 to Mar 19, 2026
  • Discretionary RAUM · $3.8B to $4.6B
    Nov 11, 2025 to Mar 19, 2026
  • HNW RAUM · $3.5B to $4.4B
    Nov 11, 2025 to Mar 19, 2026
  • Individual RAUM · $204M to $194M
    Nov 11, 2025 to Mar 19, 2026
  • Non-discretionary RAUM · $10.7M to $12.0M
    Nov 11, 2025 to Mar 19, 2026
  • RAUM · $3.8B to $4.6B
    Nov 11, 2025 to Mar 19, 2026
  • Financial planning clients · More than 500 to More than 500
    Apr 28, 2025 to Jun 25, 2025
  • Accounts · 1,898 to 3,304
    Dec 26, 2024 to Apr 28, 2025
  • Advisory employees · 12 to 20
    Dec 26, 2024 to Apr 28, 2025
  • Charity clients · 1 to 7
    Dec 26, 2024 to Apr 28, 2025
  • Corporate clients · 7 to 8
    Dec 26, 2024 to Apr 28, 2025
  • HNW clients · 151 to 333
    Dec 26, 2024 to Apr 28, 2025
  • Individual clients · 293 to 580
    Dec 26, 2024 to Apr 28, 2025
  • Assets in custody · $423M to $1.3B
    Dec 26, 2024 to Apr 28, 2025
  • Employees · 23 to 30
    Dec 26, 2024 to Apr 28, 2025
  • Insurance-licensed employees · 2 to 0
    Dec 26, 2024 to Apr 28, 2025
  • Financial planning clients · 101-250 to More than 500
    Dec 26, 2024 to Apr 28, 2025
  • State-registered IARs · 13 to 18
    Dec 26, 2024 to Apr 28, 2025
  • Discretionary RAUM · $3.1B to $3.8B
    Dec 26, 2024 to Apr 28, 2025
  • HNW RAUM · $2.9B to $3.5B
    Dec 26, 2024 to Apr 28, 2025
  • Individual RAUM · $113M to $204M
    Dec 26, 2024 to Apr 28, 2025
  • Non-discretionary RAUM · $8.2M to $10.7M
    Dec 26, 2024 to Apr 28, 2025
  • RAUM · $3.1B to $3.8B
    Dec 26, 2024 to Apr 28, 2025
  • Other offices · 4 to 5
    Sep 6, 2024 to Oct 3, 2024
  • Other offices · 3 to 4
    Jun 7, 2024 to Aug 2, 2024
  • Accounts · 1,547 to 1,898
    Aug 17, 2023 to Mar 28, 2024
  • BD registered reps · 6 to 7
    Aug 17, 2023 to Mar 28, 2024
  • Charity clients · unset to 1.0
    Aug 17, 2023 to Mar 28, 2024
  • Assets in custody · $409M to $423M
    Aug 17, 2023 to Mar 28, 2024
  • Insurance-licensed employees · 1 to 2
    Aug 17, 2023 to Mar 28, 2024
  • State-registered IARs · 12 to 13
    Aug 17, 2023 to Mar 28, 2024
  • Other offices · 4 to 3
    Aug 17, 2023 to Mar 28, 2024
  • Discretionary RAUM · $2.7B to $3.1B
    Aug 17, 2023 to Mar 28, 2024
  • HNW RAUM · $2.6B to $2.9B
    Aug 17, 2023 to Mar 28, 2024
Signals
28 dated events
  • J•••••• S•••••••• W••••• L•• no longer on the SEC adviser roster (last listed 2026-04-01, RAUM $4.6B)
    May 1, 2026 · Left the SEC roster · derived
  • K•••• D•••••• R•••• left J•••••• S•••••••• W••••• L•• for H•••••••• A•••••••• L•• (registered 2026-04-02)
    Apr 8, 2026 · Advisor changed firm · fact
  • K•••• J••• M••••••••• left J•••••• S•••••••• W••••• L•• for H•••••••• A•••••••• L•• (registered 2026-04-01)
    Apr 8, 2026 · Advisor changed firm · fact
  • K••••••• B••••• left J•••••• S•••••••• W••••• L•• for H•••••••• A•••••••• L•• (registered 2026-04-09)
    Apr 8, 2026 · Advisor changed firm · fact
  • M•••••• D••••• L•••••••• left J•••••• S•••••••• W••••• L•• for H•••••••• A•••••••• L•• (registered 2026-04-16)
    Apr 8, 2026 · Advisor changed firm · fact
  • J••• E••••• I••••• left J•••••• S•••••••• W••••• L•• for H•••••••• A•••••••• L•• (registered 2026-04-02)
    Apr 8, 2026 · Advisor changed firm · fact
  • A••••• P•••••• L••••• left J•••••• S•••••••• W••••• L•• for H•••••••• A•••••••• L•• (registered 2026-04-01)
    Apr 8, 2026 · Advisor changed firm · fact
  • 4 advisors left J•••••• S•••••••• W••••• L•• (Alamo, CA) for H•••••••• A•••••••• L•• on the same day
    Apr 8, 2026 · Team lift-out · derived
  • L••••• M•••• A•••• left J•••••• S•••••••• W••••• L•• for H•••••••• A•••••••• L•• (registered 2026-04-07)
    Apr 8, 2026 · Advisor changed firm · fact
  • K•••••• A•••••• B•••••• left J•••••• S•••••••• W••••• L•• for H•••••••• A•••••••• L•• (registered 2026-04-02)
    Apr 8, 2026 · Advisor changed firm · fact
  • B•••• R• F•••• left J•••••• S•••••••• W••••• L•• for H•••••••• A•••••••• L•• (registered 2026-04-09)
    Apr 8, 2026 · Advisor changed firm · fact
  • B•••• T•••• A•••• left J•••••• S•••••••• W••••• L•• for H•••••••• A•••••••• L•• (registered 2026-04-02)
    Apr 8, 2026 · Advisor changed firm · fact
  • Z•••••• M••• left J•••••• S•••••••• W••••• L•• for H•••••••• A•••••••• L•• (registered 2026-05-05)
    Apr 8, 2026 · Advisor changed firm · fact
  • M•••••• C•••••• B•••• left J•••••• S•••••••• W••••• L•• for H•••••••• A•••••••• L•• (registered 2026-04-23)
    Apr 8, 2026 · Advisor changed firm · fact
  • J••• M•••••• left J•••••• S•••••••• W••••• L•• for H•••••••• A•••••••• L•• (registered 2026-04-07)
    Apr 8, 2026 · Advisor changed firm · fact
  • T•• E••• A••••••• left J•••••• S•••••••• W••••• L•• for H•••••••• A•••••••• L•• (registered 2026-04-29)
    Apr 8, 2026 · Advisor changed firm · fact
  • C••• F••••••••• left J•••••• S•••••••• W••••• L•• for H•••••••• A•••••••• L•• (registered 2026-04-09)
    Apr 8, 2026 · Advisor changed firm · fact
  • 6 advisors left J•••••• S•••••••• W••••• L•• (Summit, NJ) for H•••••••• A•••••••• L•• on the same day
    Apr 8, 2026 · Team lift-out · derived
  • J••• B• S•••• left J•••••• S•••••••• W••••• L•• for H•••••••• A•••••••• L•• (registered 2026-04-08)
    Apr 8, 2026 · Advisor changed firm · fact
  • M••• E• L••••• left J•••••• S•••••••• W••••• L•• for W•••• F•••• A••••••• (registered 2025-07-18)
    Jul 14, 2025 · Advisor changed firm · fact
  • 2 advisors left L•• F•••••••• L•• (Tampa, FL) for J•••••• S•••••••• W••••• L•• a day apart
    Aug 5, 2024 · Team lift-out · derived
  • Frank Damian Lo Basso (Member / Manager) no longer on Schedule A of J•••••• S•••••••• W••••• L•• (listed 2024-03-28, absent 2024-06-07)
    Jun 7, 2024 · Control person left · inference
  • Franklin Charles Britton (Member) appeared on Schedule A of J•••••• S•••••••• W••••• L••
    Mar 28, 2024 · Control person joined · fact
  • C•••••• M• W••• left J•••••• S•••••••• W••••• L•• for T•• A••••• G••••• L•• (registered 2022-06-22)
    Jan 14, 2022 · Advisor changed firm · fact
  • Frank Damian Lo Basso (Member / Manager) appeared on Schedule A of J•••••• S•••••••• W••••• L••
    May 11, 2021 · Control person joined · fact
  • R Brian Flynn (Managing Member) appeared on Schedule A of J•••••• S•••••••• W••••• L••
    Dec 8, 2020 · Control person joined · fact
  • Charles Michael Brown (Managing Member) appeared on Schedule A of J•••••• S•••••••• W••••• L••
    Dec 8, 2020 · Control person joined · fact
  • J•••••• S•••••••• W••••• L•• filed its initial SEC registration (Form ADV)
    Nov 5, 2020 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
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