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•••••• G•••• L••
Legal name J••••• S•••••• I••••••••• M••••••••• L••
Latest filing Mar 31, 2023
First filing on the tape Aug 2, 2022 · 7 filings
RAUM
$100M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
7
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$100M gross assets
History
7 filings and snapshots on the tape
RAUM$100M as of Mar 31, 2023
Aug 2, 2022$25.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2023
Aug 2, 20220 then
Employees (5.A)7 as of Mar 31, 2023
Aug 2, 20228 then
Private funds1 as of Mar 31, 2023
Aug 2, 20222 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 31, 2023; every figure names its basis
- RAUM per advisor
- unknownderivedRAUM 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
- $100MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 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
- has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$100M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- 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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S•••••• F••• I• L• | Private Equity Fund | $100M | 1 | Jun 9, 2022 |
| R••• E••••• I••••••••• T•••• 1• L•• | Venture Capital Fund | $76.0M | 2 | Aug 11, 2022 |
| T•••••• F••• L• | Venture Capital Fund | $75.0M | 2 | Sep 22, 2022 |
Owners and control persons
Schedule A and B, latest filing
- C••••• D•••••• A• · Chief Executive Officercontrolsince 11/2022 · owns less than 5%
- P•••••• Y•••••• I• · Chief Compliance Officercontrolsince 11/2022 · owns less than 5%
- S••••••• D••••• S•••••• · Chairmancontrolsince 11/2021 · owns less than 5%
- L•••••• P••• · Trusteecontrolsince 02/2021 · owns F of T•• S•••••• F••••• C••••••••• T••••
Entity owners
- J• S•••••• F•••••••• G•••• · Memberdirect · owns 75% or more
- A•••• H•••••• I• L•• · Memberindirect · owns 75% or more of J• S•••••• F•••••••• G••••
- T•• S•••••• F••••• C••••••••• T•••• · Memberindirect · owns 75% or more of A•••• H•••••• I• L••
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 2 to 1Feb 17, 2023 to Mar 31, 2023
- Advisory employees · 6 to 4Feb 17, 2023 to Mar 31, 2023
- Pooled vehicle clients · 2 to 1Feb 17, 2023 to Mar 31, 2023
- Employees · 8 to 7Feb 17, 2023 to Mar 31, 2023
- Financial planning clients · unset to 0Feb 17, 2023 to Mar 31, 2023
- Private funds · 2 to 1Feb 17, 2023 to Mar 31, 2023
- Assets in custody · 101000000.0 to unsetAug 15, 2022 to Sep 22, 2022
- Custody of client assets · true to falseAug 15, 2022 to Sep 22, 2022
- Discretionary RAUM · $101M to $100MAug 15, 2022 to Sep 22, 2022
- Pooled vehicle RAUM · $101M to $100MAug 15, 2022 to Sep 22, 2022
- RAUM · $101M to $100MAug 15, 2022 to Sep 22, 2022
- Accounts · 1 to 2Aug 2, 2022 to Aug 11, 2022
- Pooled vehicle clients · 1 to 2Aug 2, 2022 to Aug 11, 2022
- Assets in custody · $25.0M to $101MAug 2, 2022 to Aug 11, 2022
- Discretionary RAUM · $25.0M to $101MAug 2, 2022 to Aug 11, 2022
- Pooled vehicle RAUM · $25.0M to $101MAug 2, 2022 to Aug 11, 2022
- RAUM · $25.0M to $101MAug 2, 2022 to Aug 11, 2022
Signals
3 dated events
- Julie Anderson (Chief Compliance Officer) no longer on Schedule A of J••••• S•••••• G•••• L•• (listed 2022-09-22, absent 2022-11-18)Nov 18, 2022 · Control person left · inference
- I Yvonne Pytlik (Chief Compliance Officer) appeared on Schedule A of J••••• S•••••• G•••• L••Nov 18, 2022 · Control person joined · fact
- J••••• S•••••• G•••• L•• filed its initial SEC registration (Form ADV)Aug 2, 2022 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- J••••• S•••••• G•••• L•• · Private Equityshared crd · organization
- J••••• S•••••• G•••• L•• · Venture Capitalshared crd · organization
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