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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SEC-registered adviser
J••• P•••••• C•••••• M••••••••• L••
Latest filing Jun 23, 2026
First filing on the tape Apr 21, 2025 · 4 filings
SEC status approved since Apr 17, 2025
RAUM
$407M
reported, Item 5.F
Discretionary
95%
of RAUM
Private clients
100%
$407M individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$136M
derived; firm RAUM over IAPD count
Employees
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$407M as of Jun 23, 2026
Apr 21, 2025$126M then
HNW client RAUM$378M as of Jun 23, 2026
Apr 21, 2025$107M then
State-registered IARs (5.B.3)2 as of Jun 23, 2026
Apr 21, 20251 then
Employees (5.A)3 as of Jun 23, 2026
Apr 21, 20251 then
Private funds: no history
RAUM +223% over the last fiscal yearIARs 1 to 2
Practice profile
derived from the filing of Jun 23, 2026; every figure names its basis
Archetypes, each a printed rule
- Independent boutique · a wealth manager with no broker-dealer, bank or insurance affiliate, 2 to 25 advisors, one to three offices, no public reporting company control
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- UHNW private wealth · private-client share at least 50 percent, HNW at least 90 percent of private-client RAUM, and average HNW client assets at least $10M
- RAUM per advisor
- $136MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 45derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $14.0MderivedHNW RAUM over HNW clients
- Average account
- $959,929derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 95%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
- 3.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +223%derivedbetween the last two annual amendments
- Advisor growth, one year
- +100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +25%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
- $229M, 51 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$378M93%
- Individuals$29.2M7.2%
- Individual clients
- 108reported
- HNW clients
- 27reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 424reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $229M for 51 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••••• R••••• P••••••Certified Financial Planner | Holden, Ma | Jun 28, 2022 | 10 y | 1 |
| D••••• H••••••• S•••••••••Certified Financial Planner | Holden, Ma | Jan 5, 2026 | 14 y | 2 |
| T••••• L•• G•••••••Certified Financial Planner | Washougal, Wa | Jun 22, 2026 | 10 y | 0 |
Advisor movement
0 left, 1 joined in 12 months
net +1 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
- D••••• H••••••• S••••••••• from P••••••••• A••••••• S••••••• I••Jan 5, 2026 · RIA to RIA
- J•••••• R••••• P•••••• from E••••• J••••Jun 28, 2022 · Affiliated broker-dealer or bank to independent RIA
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- P••••••• J••••••• R• · Managing Member & Chief Compliance Officercontrolsince 04/2022 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Holden, Ma · principal | 3 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- unusually large average HNW clientStatic outlier · filing Jun 23, 2026HNW RAUM per HNW client of $13,991,170 against a peer median of $2,402,920 (4942 comparable advisers, 100.0th percentile, 7.8 robust deviations)peers: independent wealth managers, $100M to $500M (4,942) · 100% percentile
- RAUM up 50 %Change between filings · filing Mar 20, 2026RAUM (Item 5.F) moved from $126,186,301 to $407,009,712 (+223.0%) between the annual amendments of 2025-04-21 and 2026-03-20; the peer median change was +15.0% (4549 comparable advisers, 100.0th percentile of changes)peers: independent wealth managers, $100M to $500M (4,549) · 100% percentile
What changed
consecutive filings, newest first
- Accounts · 317 to 424Apr 21, 2025 to Feb 26, 2026
- Advisory employees · 1 to 2Apr 21, 2025 to Feb 26, 2026
- HNW clients · 20 to 27Apr 21, 2025 to Feb 26, 2026
- Individual clients · 88 to 108Apr 21, 2025 to Feb 26, 2026
- Assets in custody · unset to 229150058.0Apr 21, 2025 to Feb 26, 2026
- Custody of client assets · false to trueApr 21, 2025 to Feb 26, 2026
- Employees · 1 to 3Apr 21, 2025 to Feb 26, 2026
- State-registered IARs · 1 to 2Apr 21, 2025 to Feb 26, 2026
- Discretionary RAUM · $126M to $386MApr 21, 2025 to Feb 26, 2026
- HNW RAUM · $107M to $378MApr 21, 2025 to Feb 26, 2026
- Individual RAUM · $19.2M to $29.2MApr 21, 2025 to Feb 26, 2026
- Non-discretionary RAUM · $437,913 to $20.8MApr 21, 2025 to Feb 26, 2026
- RAUM · $126M to $407MApr 21, 2025 to Feb 26, 2026
Signals
1 dated events
- J••• P•••••• C•••••• M••••••••• L•• reported RAUM $407.0M, up 223% from $126.2M (2025-04-21 to 2026-02-26)Feb 26, 2026 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Business phone
- 508-756-8080reportedpublished by the firm, firm site, Sep 16, 2026
- Website
- j••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 508-756-8080reportedpublic record, Form ADV, Jun 23, 2026
- Contact form
- j••••••••.comreportedpublished by the firm, firm site, Sep 16, 2026
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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $136Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026