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•••• F••••••••• L••
Latest filing Mar 20, 2026
First filing on the tape Apr 14, 2022 · 8 filings
SEC status approved since May 13, 2022
RAUM
$479M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
98%
$470M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
8
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$479M as of Mar 20, 2026
Mar 20, 2023$270M then
HNW client RAUM$315M as of Mar 20, 2026
Mar 20, 2023$138M then
State-registered IARs (5.B.3)6 as of Mar 20, 2026
Mar 20, 20234 then
Employees (5.A)8 as of Mar 20, 2026
Mar 20, 20236 then
Private funds: no history
RAUM +16% over the last fiscal year+21% a year over threeIARs 6 to 6offices 1 to 0
Practice profile
derived from the filing of Mar 20, 2026; every figure names its basis
- RAUM per advisor
- $79.8MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 121derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.9MderivedHNW RAUM over HNW clients
- Average account
- $219,429derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.8%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.3derivedItem 5.A over advisors
- Advisors per office
- 6.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.8%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $103M, 263 clientsreportedItem 9.A
- Ownership
- a PE fund or sponsor is a 25 percent or greater owner 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)
- 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$315M66%
- Individuals$155M32%
- Charitable organizations$3.3M0.7%
- Pension and profit-sharing plans$2.9M0.6%
- Insurance companies$2.3M0.5%
- Corporations and businesses$16,5300.0%
- Individual clients
- 561reported
- HNW clients
- 163reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2,181reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $103M for 263 clientsreported
- Compensation
- % of AUM, fixedreported
- 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
5 left, 0 joined in 12 months
net -5 in 12 months5 left in 90 days0 joined in 90 days5 left over 36 months
Left, latest
- A••••• D••••• to B••••••••• W••••• M••••••••• L••Jul 8, 2026 · RIA to RIA
- D••••• J••••• C••••• to B••••••••• W••••• M••••••••• L••Jul 8, 2026 · RIA to RIA
- L•••• S••••• G•••••• to B••••••••• W••••• M••••••••• L••Jul 8, 2026 · RIA to RIA
- A•••••• L•••••• H••••• to B••••••••• W••••• M••••••••• L••Jul 8, 2026 · RIA to RIA
- R••••• V••••• B•••••• to B••••••••• W••••• M••••••••• L••Jul 8, 2026 · RIA to RIA
Joined, latest
none on the tape
Teams: two or more advisors moving together within fourteen days, from one state
- 5 left for B••••••••• W••••• M••••••••• L••Jul 8, 2026 · Lexington, Ky · Firm absorbed
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••• D•••••• J••••• · Managing Director, Chief Operations Officercontrolsince 03/2022 · owns less than 5%
- N••••••• R•••••• B•••• · Vice Presidentcontrolsince 03/2022 · owns less than 5%
- O••••••• A•••••• M•••• · Vice Presidentcontrolsince 03/2022 · owns less than 5%
- T••••• W••••••• L•••• · Managing Director , Chief Investment Officercontrolsince 03/2022 · owns less than 5%
- B••••••• H••••• · Vice Presidentsince 03/2022 · owns less than 5%
- H•••••• S••••• R•• · Chief Compliance Officersince 06/2022 · owns less than 5%
- M••••••• L•••• A•• · Assistant Secretarysince 03/2022 · owns less than 5%
Entity owners
- B••••••••• W••••• P•••••••• L•• · Ownerdirect · owns 75% or more
- K••••• A•••••• S••••••• H••••••• A• I••• · Ownerindirect · owns 75% or more of K••••• A•••••• S••••••• H••••••• B• I•••
- K••••• A•••••• S••••••• H••••••• B• I••• · Ownerindirect · owns 75% or more of K••••• A•••••• S••••••• H••••••• C• I•••
- K••••• A•••••• S••••••• H••••••• C• I••• · Ownerindirect · owns 75% or more of K••••• F••••••••• I•••
- K••••• F••••••••• I••• · Ownerindirect · owns 75% or more of B••••••••• W••••• P•••••••• L••
- K••••••••• H•••••• A• I••• · Ownerindirect · owns 75% or more of K••••••••• H•••••• B• I•••
- K••••••••• H•••••• B• I••• · Ownerindirect · owns 75% or more of K••••• A•••••• S••••••• H••••••• A• I•••
- K••••••••• H•••••• G•• L•• · General Partnerindirect · owns F of K••••••••• H•••••• L•••
- K••••••••• H•••••• L••• · Ownerindirect · owns 75% or more of K••••••••• H•••••• A• I•••
- O•• H••• C•••••• P••••••• V• ••••••••• L••• · Ownerindirect · owns 25% to 50% of O••• V• E••• A••••••••• L•••
- O•• H••• C•••••• P••••••• V• •• 8•••• L••• · Ownerindirect · owns 25% to 50% of O••• V• E••• A••••••••• L•••
- O••• V• E••• A••••••••• L••• · Ownerindirect · owns 25% to 50% of K••••••••• H•••••• L•••
- W•••••• P••••• F•••••••• S•••••• L••• · Limited Partnerindirect · owns 25% to 50% of K••••••••• H•••••• L•••
Related persons
Schedule D 7.A
- A••••••• F•••••••• S••••••••• I•••real estaten
- A•••• T•••• C••••••n
- B••••• F•••••••• G••••investment advisernRAUM $1.3B
- B••••• F•••••• I••••••••• C••••••••• L•••investment advisernRAUM $872M
- B•••••• R• W•••• • A••••••••• I•••real estaten
- C•••••• P••••••• A••••••• L••investment advisernRAUM $1.5B
- C•••••• C•••••• M••••••••• I•••real estaten
- G•••••••• A•••••••• L••investment advisernRAUM $1.1B
- H•••••• W••••• L••investment advisernRAUM $595M
- H•••••• A•••• M••••••••• I•••investment advisernRAUM $249M
- H••••• F•••••••• S•••••••• L••investment advisernRAUM $760M
- K••••• A••••••• S•••••••• L••investment advisernRAUM $80B
- K••••• I••••••••• S•••••••• L••investment advisern
- K••••• I•••••••• S•••••••• L••real estaten
- K••••• I••••••••• M••••••••• L•••investment advisernRAUM $4.3B
- Nfp A•••••• Services, LLCbroker-dealernRAUM $12B
- K••••• P•••••• W••••• S•••••••• L••investment advisernRAUM $13B
- O••••••• F•••••••• C•••••• I•••real estaten
- P•••••• M••••••••• G••••• L••investment advisernRAUM $2.0B
- R••••• D•••••• F•••••••• A••••••• L••investment advisernRAUM $493M
- B••••••••• W••••• M••••••••• L••investment advisernRAUM $5.4B
- V••••• I•••••••• S•••••••• I•••real estaten
Advisers that list J•••• F••••••••• L•• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Lexington, Ky · principal | 0 | 0 | 5 |
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 2,065 to 2,181Dec 24, 2025 to Mar 20, 2026
- HNW clients · 127 to 163Dec 24, 2025 to Mar 20, 2026
- Individual clients · 577 to 561Dec 24, 2025 to Mar 20, 2026
- Assets in custody · $89.6M to $103MDec 24, 2025 to Mar 20, 2026
- Employees · 7 to 8Dec 24, 2025 to Mar 20, 2026
- Other offices · 1 to 0Dec 24, 2025 to Mar 20, 2026
- Discretionary RAUM · $411M to $479MDec 24, 2025 to Mar 20, 2026
- HNW RAUM · $250M to $315MDec 24, 2025 to Mar 20, 2026
- Individual RAUM · $149M to $155MDec 24, 2025 to Mar 20, 2026
- Pension RAUM · $6.5M to $2.9MDec 24, 2025 to Mar 20, 2026
- RAUM · $411M to $479MDec 24, 2025 to Mar 20, 2026
- Accounts · 1,822 to 2,065Jul 17, 2024 to Mar 20, 2025
- Advisory employees · 5 to 6Jul 17, 2024 to Mar 20, 2025
- Advisory activities · 3 to 4Jul 17, 2024 to Mar 20, 2025
- HNW clients · 101 to 127Jul 17, 2024 to Mar 20, 2025
- Individual clients · 556 to 577Jul 17, 2024 to Mar 20, 2025
- Assets in custody · $79.5M to $89.6MJul 17, 2024 to Mar 20, 2025
- Financial planning clients · 101-250 to 251-500Jul 17, 2024 to Mar 20, 2025
- State-registered IARs · 5 to 6Jul 17, 2024 to Mar 20, 2025
- Discretionary RAUM · $332M to $411MJul 17, 2024 to Mar 20, 2025
- HNW RAUM · $180M to $250MJul 17, 2024 to Mar 20, 2025
- Individual RAUM · $147M to $149MJul 17, 2024 to Mar 20, 2025
- Pension RAUM · $2.9M to $6.5MJul 17, 2024 to Mar 20, 2025
- RAUM · $332M to $411MJul 17, 2024 to Mar 20, 2025
- Accounts · 1,519 to 1,822Mar 20, 2023 to Mar 18, 2024
- Advisory employees · 4 to 5Mar 20, 2023 to Mar 18, 2024
- HNW clients · 82 to 101Mar 20, 2023 to Mar 18, 2024
- Individual clients · 542 to 556Mar 20, 2023 to Mar 18, 2024
- Assets in custody · $22.5M to $79.5MMar 20, 2023 to Mar 18, 2024
- Employees · 6 to 7Mar 20, 2023 to Mar 18, 2024
- State-registered IARs · 4 to 5Mar 20, 2023 to Mar 18, 2024
- Other offices · 0 to 1Mar 20, 2023 to Mar 18, 2024
- Discretionary RAUM · $264M to $332MMar 20, 2023 to Mar 18, 2024
- HNW RAUM · $138M to $180MMar 20, 2023 to Mar 18, 2024
- Individual RAUM · $129M to $147MMar 20, 2023 to Mar 18, 2024
- Non-discretionary RAUM · $6.2M to $0Mar 20, 2023 to Mar 18, 2024
- Pension RAUM · $1.6M to $2.9MMar 20, 2023 to Mar 18, 2024
- RAUM · $270M to $332MMar 20, 2023 to Mar 18, 2024
- Non-discretionary RAUM · $8.5M to $6.2MJul 14, 2022 to Mar 20, 2023
- Pension RAUM · $1.4M to $1.6MJul 14, 2022 to Mar 20, 2023
Signals
9 dated events
- J•••• F••••••••• L•• no longer on the SEC adviser roster (last listed 2026-07-01, RAUM $478.6M)Aug 3, 2026 · Left the SEC roster · derived
- D••••• J••••• C••••• left J•••• F••••••••• L•• for B••••••••• W••••• M••••••••• L•• (registered 2026-06-24)Jul 8, 2026 · a•••••• firm change · fact
- A•••••• L•••••• H••••• left J•••• F••••••••• L•• for B••••••••• W••••• M••••••••• L•• (registered 2026-06-24)Jul 8, 2026 · a•••••• firm change · fact
- L•••• S••••• G•••••• left J•••• F••••••••• L•• for B••••••••• W••••• M••••••••• L•• (registered 2026-06-24)Jul 8, 2026 · a•••••• firm change · fact
- R••••• V••••• B•••••• left J•••• F••••••••• L•• for B••••••••• W••••• M••••••••• L•• (registered 2026-06-24)Jul 8, 2026 · a•••••• firm change · fact
- A••••• D••••• left J•••• F••••••••• L•• for B••••••••• W••••• M••••••••• L•• (registered 2026-06-24)Jul 8, 2026 · a•••••• firm change · fact
- J•••• F••••••••• L••'s advisors moved to B••••••••• W••••• M••••••••• L•• (Lexington, KY): 5 of 5 registered, on the same dayJul 8, 2026 · Firm absorbed (people side) · derived
- J•••• F••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)Apr 14, 2022 · Succession (Item 4) · fact
- J•••• F••••••••• L•• filed its initial SEC registration (Form ADV)Apr 14, 2022 · 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