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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
J•••••••• I••••••••• A••••••• L••
Latest filing Jun 22, 2026
First filing on the tape Mar 15, 2023 · 10 filings
SEC status approved since Apr 20, 2023
RAUM
$5.2B
reported, Item 5.F
Discretionary
91%
of RAUM
Private clients
40%
$2.1B individuals and HNW
Advisors
119
registered through the firm on IAPD
RAUM per advisor
$43.3M
derived; firm RAUM over IAPD count
Employees
119
107 advisory (5.B.1)
Offices
9
beyond the principal office
Private funds
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$5.2B as of Jun 22, 2026
Feb 29, 2024$3.1B then
HNW client RAUM: no history
State-registered IARs (5.B.3)117 as of Jun 22, 2026
Feb 29, 2024101 then
Employees (5.A)119 as of Jun 22, 2026
Feb 29, 2024144 then
Private funds: no history
RAUM +51% over the last fiscal yearIARs 100 to 117offices 7 to 9
Practice profile
derived from the filing of Jun 22, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- Wrap program sponsor · sponsors a wrap fee program (5.I) with at least $100M of wrap assets
- RAUM per advisor
- $43.3MderivedRAUM 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
- $2.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 91%derivedof RAUM
- Institutional
- 0.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 11.9derived10 offices incl. principal (1.F.5)
- RAUM growth, one year
- +0.6%derivedbetween the last two annual amendments
- Advisor growth, one year
- +17%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 5.G
- Wrap fee program
- $3.4BreportedItem 5.I
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Corporations and businesses$3.1B59%
- Individuals$2.1B40%
- Pension and profit-sharing plans$21.3M0.4%
- Sovereign wealth funds$3.2M0.1%
- Individual clients
- 1,649reported
- HNW clients
- n/areported
- Pension plan clients
- 30reported
- Charitable clients
- n/areported
- Accounts
- 2,020reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- $1.3B sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.4 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=119.0derived
Advisors registered through the firm
119 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| F••••••• J•••••• C•••••••• | New York, Ny | May 24, 2023 | 27 y | 2 |
| P•••••• J••••• W••••• | New York, Ny | May 24, 2023 | 12 y | 2 |
| C••••••• R•••••• | New York, Ny | May 24, 2023 | 11 y | 1 |
| L••••• R• G•••••• | New York, Ny | May 24, 2023 | 21 y | 2 |
| E••••••• S••••• P••••••• | New York, Ny | May 24, 2023 | 21 y | 2 |
| L•••••• M••••••••• | New York, Ny | May 24, 2023 | 17 y | 2 |
| R••• M••••••• M•••• | New York, Ny | May 24, 2023 | 18 y | 2 |
| G•••••• K•••••Chartered Financial Analyst | San Francisco, Ca | May 24, 2023 | 28 y | 3 |
| M••••• J•••• S••••••• | New York, Ny | May 24, 2023 | 18 y | 3 |
| Y•••••• M•••••• | New York, Ny | May 24, 2023 | 11 y | 3 |
| R•••••• K••••• G••••• | New York, Ny | May 24, 2023 | 15 y | 1 |
| L••• F••••••• T••••• | New York, Ny | May 24, 2023 | 11 y | 3 |
| K••••••• L••••• | Stamford, Ct | May 24, 2023 | 18 y | 2 |
| K•••••• E• V•••• | New York, Ny | May 24, 2023 | 12 y | 1 |
| J••••• J••• T••••• N•••••• | New York, Ny | May 24, 2023 | 13 y | 2 |
| C•••• B••••Chartered Financial Analyst | Media, Pa | May 24, 2023 | 13 y | 2 |
| D••••• F•••••••Chartered Financial Analyst | Philadelphia, Pa | May 24, 2023 | 10 y | 2 |
| P•••••• N••• B•••••• | New York, Ny | May 24, 2023 | 12 y | 1 |
| D•••• T••••• W••• | New York, Ny | May 24, 2023 | 10 y | 2 |
| R••• W•••••• M••••••••• | New York, Ny | May 24, 2023 | 10 y | 1 |
| C••••••••• B•••••• | Miami, Fl | May 24, 2023 | 10 y | 1 |
| S••••• M•••••• B•••• | Chicago, Il | May 24, 2023 | 12 y | 1 |
| K••••••••• S•••• G••••••• | New York, Ny | May 24, 2023 | 12 y | 1 |
| J••••• H•••• N••••••Chartered Financial Analyst | San Francisco, Ca | May 24, 2023 | 10 y | 1 |
| K••••• R••••••• | New York, Ny | May 24, 2023 | 13 y | 1 |
| C•••••••• M••• C••••••• | New York, Ny | May 24, 2023 | 38 y | 1 |
| R••••• L•••• C••••••• | New York, Ny | May 24, 2023 | 44 y | 1 |
| G••••••• C•••••• S•••••••• | New York, Ny | May 24, 2023 | 33 y | 5 |
| I••••• D•••••• P•••• | Miami, Fl | May 24, 2023 | 32 y | 5 |
| G•••••• K• C•• | New York, Ny | May 24, 2023 | 26 y | 2 |
| S•••• R•••••• H••• | Chicago, Il | May 24, 2023 | 16 y | 1 |
| R••••• V• E••••••• | Greenwich, Ct | May 24, 2023 | 19 y | 2 |
| R••• J•••• D••••• | Philadelphia, Pa | May 24, 2023 | 11 y | 1 |
| M•••••• J•••• C•••• | New York, Ny | May 24, 2023 | 20 y | 1 |
| R••••• V•••••• P•••••••• | New York, Ny | May 24, 2023 | 37 y | 6 |
| M••••• C••••• M•••••••• | New York, Ny | May 24, 2023 | 32 y | 3 |
| S•••• G••••• S•••••• | New York, Ny | May 24, 2023 | 35 y | 2 |
| A••• I• W•••••• | New York, Ny | May 24, 2023 | 35 y | 5 |
| L••• M••••••• B••••••• | Chicago, Il | May 24, 2023 | 34 y | 6 |
| E•••••••• A•• F••• | New York, Ny | May 24, 2023 | 20 y | 3 |
Advisor movement
4 left, 6 joined in 12 months
net +2 in 12 months4 left in 90 days4 joined in 90 daysdeparture rate 3.4% of current headcount15 left over 36 months
Left, latest
- B••••••• A• S••••••• to O•••• P•••••••• S••••••••• L••Sep 1, 2026 · RIA to affiliated broker-dealer or bank
- G••• F••••••• to R•••••• J•••• • A••••••••• I•••Aug 24, 2026 · RIA to affiliated broker-dealer or bank
- M•••••• E••••• S•••••••• to A•••••• C••••••• L••Aug 19, 2026 · RIA to RIA
- J•••• P•••• B•••••• to J••• M••••• S••••••••• L••Aug 12, 2026 · RIA to wirehouse
- L•••••• R••••• I•••••••• to I••••••• A••••••• S•••••••• L••Aug 12, 2025 · Affiliated broker-dealer or bank to another
- A••••••••• T•••• to N•••••• A•••••••Jul 31, 2025 · Affiliated broker-dealer or bank to another
- J•••••• R••• to J••• M••••• S••••••••• L••Jul 31, 2025 · Affiliated broker-dealer or bank to wirehouse
- B•••••• E••••• G•••• to N•••••• A•••••••May 21, 2025 · Affiliated broker-dealer or bank to another
- W•••••• J••• S•••• to M••••• S••••••May 9, 2025 · Affiliated broker-dealer or bank to wirehouse
- G••••••• G••••••• to M••••• S••••••Jan 17, 2025 · Affiliated broker-dealer or bank to wirehouse
- M••••• B•••• to L•••• S••••••••• I••Jan 17, 2025 · Affiliated broker-dealer or bank to a state-registered adviser
- E•••• C••••••••• to W•••• F•••• A•••••••Dec 6, 2024 · Affiliated broker-dealer or bank to wirehouse
- J•••• F••••• H••••• to J••• M••••• S••••••••• L••Dec 5, 2024 · Affiliated broker-dealer or bank to wirehouse
- S••• R•••• to M••••• S••••••Feb 28, 2024 · Affiliated broker-dealer or bank to wirehouse
- T••••• K•••••• B•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Feb 7, 2024 · Affiliated broker-dealer or bank to wirehouse
Joined, latest
- D••••• P••• F••••••••• from C••••• I••••••••• A••••••• L••Aug 17, 2026 · Affiliated broker-dealer or bank to independent RIA
- M•••••• T•••• from R•• R•••••••• L••Aug 11, 2026 · Affiliated broker-dealer or bank to independent RIA
- T•••••• Y•••• M•••• P•••••• from L•• E••••••••• L••Jun 30, 2026 · Affiliated broker-dealer or bank to independent RIA
- Q••• Y•• from J••• M••••• S••••••••• L••Jun 29, 2026 · Wirehouse to independent RIA
- W•••••• S•••••• from M••••• S••••••Mar 23, 2026 · Wirehouse to affiliated broker-dealer or bank
- R••••• C•••••• S•••• from R•• C•••••• M••••••• L••Jan 14, 2026 · Affiliated broker-dealer or bank to another
- N••••••• S•••••• H•••••••• from L••••• I••••••••• M•••••••••Sep 8, 2025 · Other
- H••••• B••••• from M••••• S••••••Jul 15, 2025 · Wirehouse to affiliated broker-dealer or bank
- B••••••• A• S••••••• from J••••• M••••••••• S•••• L••Jun 30, 2025 · Affiliated broker-dealer or bank to another
- B•••• H•••• P••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jun 26, 2025 · Wirehouse to affiliated broker-dealer or bank
- T••••• D•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Jun 26, 2025 · Wirehouse to affiliated broker-dealer or bank
- E••• S•••• F•••••• from V••• I••••••••• M••••••••• C•• L••Jun 2, 2025 · Other
- S••••• R••••• P•••••••• from R•• R•••••••• L••Apr 17, 2025 · Affiliated broker-dealer or bank to another
- L••••• E• K••• from M••••• S••••••Mar 26, 2025 · Wirehouse to affiliated broker-dealer or bank
- M•••••• I••••• M••• R•••••• from S••••• I••••••••• A••••••• I••Mar 20, 2025 · RIA to affiliated broker-dealer or bank
Teams: two or more advisors moving together within fourteen days, from one state
- 3 joined from M••••• S••••••Nov 6, 2023 · Aventura, Fl
- 2 joined from W•••••• B•••• • C•••••• L•••••Jun 20, 2023 · Chicago, Il
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C••••••••• F•••••••• J•••••• · Senior Vice President, Head Of Wealth Management Supervision & Riskcontrolsince 03/2023 · owns less than 5%
- G••••••• L•••••• R• · Managing Director-Head Of Investment & Wealth S••••••••controlsince 03/2023 · owns less than 5%
- P•••••• M••••••• J••••• · Managing Director- Co- Presidentcontrolsince 03/2023 · owns less than 5%
- P••••••••• R•••••• V•••••• · Managing Director- Co- Presidentcontrolsince 03/2023 · owns less than 5%
- L•••••••• S••••• H•• · Secretarysince 03/2023 · owns less than 5%
- N•••• D••••• J• · Chief Compliance Officersince 03/2023 · owns less than 5%
Entity owners
- J•••••••• F•••••••• G•••• I••• · Direct Ownerdirect · owns 75% or more · public reporting company
Related persons
Schedule D 7.A
- J•••••••• F•••••• L••investment advisernRAUM $25B
- J•••••••• F•••••••• S•••••••• I•••broker-dealerCPO or CTAn
- J•••••••• I•••••••• B•••••••• L••real estaten
- J•••••••• L••broker-dealerbanktrust companyn
- J•••••••• R••••••• S••••••• L••investment advisern
- L••••••• A•••• M••••••••• L••investment adviserbankpooled vehicle sponsornRAUM $3.1B
Advisers that list J•••••••• I••••••••• A••••••• L•• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| New York, Ny · principal | 116 | 17 | 2 | ||
| Miami, Fl | 29 | 1 | 0 | ||
| Chicago, Il | 9 | 1 | 0 | ||
| Los Angeles, Ca | 4 | 1 | 1 | ||
| Philadelphia, Pa | 3 | 0 | 0 | ||
| Stamford, Ct | 3 | 0 | 0 | ||
| San F••••••Co, Ca | 2 | 0 | 0 | ||
| Atlanta, Ga | 2 | 0 | 0 | ||
| New Haven, Ct | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Miami, FL39 employees
- Chicago, IL11 employees
- Los Angeles, CA5 employees
- Atlanta, GA4 employees
- Stamford, CT4 employees
- Philadelphia, PA3 employees
- San F••••••Co, CA2 employees
What changed
consecutive filings, newest first
- Accounts · 2,018 to 2,020Feb 27, 2026 to Jun 22, 2026
- Corporate clients · 338 to 340Feb 27, 2026 to Jun 22, 2026
- Discretionary RAUM · $3.0B to $4.7BFeb 27, 2026 to Jun 22, 2026
- Non-discretionary RAUM · $467M to $467MFeb 27, 2026 to Jun 22, 2026
- RAUM · $3.4B to $5.2BFeb 27, 2026 to Jun 22, 2026
- Accounts · 2,081 to 2,018Feb 27, 2025 to Feb 27, 2026
- Advisory employees · 100 to 107Feb 27, 2025 to Feb 27, 2026
- BD registered reps · 122 to 119Feb 27, 2025 to Feb 27, 2026
- Corporate clients · 368 to 338Feb 27, 2025 to Feb 27, 2026
- Individual clients · 1,687 to 1,649Feb 27, 2025 to Feb 27, 2026
- Pension plan clients · 25 to 30Feb 27, 2025 to Feb 27, 2026
- Employees · 135 to 119Feb 27, 2025 to Feb 27, 2026
- State-registered IARs · 100 to 117Feb 27, 2025 to Feb 27, 2026
- Other offices · 7 to 9Feb 27, 2025 to Feb 27, 2026
- Discretionary RAUM · $3.0B to $3.0BFeb 27, 2025 to Feb 27, 2026
- Individual RAUM · $1.9B to $2.1BFeb 27, 2025 to Feb 27, 2026
- Non-discretionary RAUM · $431M to $467MFeb 27, 2025 to Feb 27, 2026
- Pension RAUM · $23.6M to $21.3MFeb 27, 2025 to Feb 27, 2026
- RAUM · $3.4B to $3.4BFeb 27, 2025 to Feb 27, 2026
- Wrap assets (sponsor) · $1.3B to $1.3BFeb 27, 2025 to Feb 27, 2026
- Accounts · 2,044 to 2,081Feb 29, 2024 to Feb 27, 2025
- Advisory employees · 109 to 100Feb 29, 2024 to Feb 27, 2025
- BD registered reps · 144 to 122Feb 29, 2024 to Feb 27, 2025
- Corporate clients · 323 to 368Feb 29, 2024 to Feb 27, 2025
- Individual clients · 1,696 to 1,687Feb 29, 2024 to Feb 27, 2025
- Employees · 144 to 135Feb 29, 2024 to Feb 27, 2025
- Financial planning clients · 0 to 251-500Feb 29, 2024 to Feb 27, 2025
- State-registered IARs · 101 to 100Feb 29, 2024 to Feb 27, 2025
- Discretionary RAUM · $2.7B to $3.0BFeb 29, 2024 to Feb 27, 2025
- Individual RAUM · $1.7B to $1.9BFeb 29, 2024 to Feb 27, 2025
- Non-discretionary RAUM · $378M to $431MFeb 29, 2024 to Feb 27, 2025
- Pension RAUM · $20.3M to $23.6MFeb 29, 2024 to Feb 27, 2025
- RAUM · $3.1B to $3.4BFeb 29, 2024 to Feb 27, 2025
- Wrap assets (sponsor) · $1.2B to $1.3BFeb 29, 2024 to Feb 27, 2025
- Accounts · 1,891 to 2,044Oct 11, 2023 to Feb 29, 2024
- Advisory employees · 98 to 109Oct 11, 2023 to Feb 29, 2024
- BD registered reps · 132 to 144Oct 11, 2023 to Feb 29, 2024
- Corporate clients · 290 to 323Oct 11, 2023 to Feb 29, 2024
- Individual clients · 1,576 to 1,696Oct 11, 2023 to Feb 29, 2024
- Pension plan clients · 24 to 25Oct 11, 2023 to Feb 29, 2024
Signals
60 dated events
- Jaime Antonio Fals added a OH registration at J•••••••• I••••••••• A••••••• L••Sep 17, 2026 · New state registration · fact
- S•••••• L• C••••••• added a OH registration at J•••••••• I••••••••• A••••••• L••Sep 17, 2026 · New state registration · fact
- R••••• L•••• C••••••• added a OH registration at J•••••••• I••••••••• A••••••• L••Sep 17, 2026 · New state registration · fact
- Triana Raquel Arellano added a MA registration at J•••••••• I••••••••• A••••••• L••Sep 16, 2026 · New state registration · fact
- Triana Raquel Arellano added a AZ registration at J•••••••• I••••••••• A••••••• L••Sep 4, 2026 · New state registration · fact
- B••••••• A• S••••••• left J•••••••• I••••••••• A••••••• L•• for O•••• P•••••••• S••••••••• L•• (registered 2026-09-14)Sep 1, 2026 · Advisor changed firm · fact
- Triana Raquel Arellano added a SD registration at J•••••••• I••••••••• A••••••• L••Aug 31, 2026 · New state registration · fact
- Triana Raquel Arellano added a WV registration at J•••••••• I••••••••• A••••••• L••Aug 28, 2026 · New state registration · fact
- Triana Raquel Arellano added a UT registration at J•••••••• I••••••••• A••••••• L••Aug 27, 2026 · New state registration · fact
- Triana Raquel Arellano added a NJ registration at J•••••••• I••••••••• A••••••• L••Aug 26, 2026 · New state registration · fact
- Triana Raquel Arellano added a VI registration at J•••••••• I••••••••• A••••••• L••Aug 26, 2026 · New state registration · fact
- Triana Raquel Arellano added a LA registration at J•••••••• I••••••••• A••••••• L••Aug 25, 2026 · New state registration · fact
- Triana Raquel Arellano added a ME registration at J•••••••• I••••••••• A••••••• L••Aug 25, 2026 · New state registration · fact
- Triana Raquel Arellano added a NM registration at J•••••••• I••••••••• A••••••• L••Aug 25, 2026 · New state registration · fact
- Triana Raquel Arellano added a ND registration at J•••••••• I••••••••• A••••••• L••Aug 25, 2026 · New state registration · fact
- G••• F••••••• left J•••••••• I••••••••• A••••••• L•• for R•••••• J•••• • A••••••••• I••• (registered 2026-08-27)Aug 24, 2026 · Advisor changed firm · fact
- Triana Raquel Arellano added a FL registration at J•••••••• I••••••••• A••••••• L••Aug 24, 2026 · New state registration · fact
- Triana Raquel Arellano added a NE registration at J•••••••• I••••••••• A••••••• L••Aug 24, 2026 · New state registration · fact
- Triana Raquel Arellano added a NV registration at J•••••••• I••••••••• A••••••• L••Aug 24, 2026 · New state registration · fact
- Triana Raquel Arellano added a GA registration at J•••••••• I••••••••• A••••••• L••Aug 21, 2026 · New state registration · fact
- Triana Raquel Arellano added a VT registration at J•••••••• I••••••••• A••••••• L••Aug 21, 2026 · New state registration · fact
- Triana Raquel Arellano added a AL registration at J•••••••• I••••••••• A••••••• L••Aug 20, 2026 · New state registration · fact
- Triana Raquel Arellano added a AK registration at J•••••••• I••••••••• A••••••• L••Aug 20, 2026 · New state registration · fact
- Triana Raquel Arellano added a AR registration at J•••••••• I••••••••• A••••••• L••Aug 20, 2026 · New state registration · fact
- Triana Raquel Arellano added a CA registration at J•••••••• I••••••••• A••••••• L••Aug 20, 2026 · New state registration · fact
- Triana Raquel Arellano added a CO registration at J•••••••• I••••••••• A••••••• L••Aug 20, 2026 · New state registration · fact
- Triana Raquel Arellano added a CT registration at J•••••••• I••••••••• A••••••• L••Aug 20, 2026 · New state registration · fact
- Triana Raquel Arellano added a DE registration at J•••••••• I••••••••• A••••••• L••Aug 20, 2026 · New state registration · fact
- Triana Raquel Arellano added a HI registration at J•••••••• I••••••••• A••••••• L••Aug 20, 2026 · New state registration · fact
- Triana Raquel Arellano added a ID registration at J•••••••• I••••••••• A••••••• L••Aug 20, 2026 · New state 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.
How to reach
public business contact points only, each with its source
- Business phone
- 212-284-2300reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- jefferies.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-284-2300reportedpublic record, Form ADV, Jun 22, 2026
- Contact form
- jefferies.com/contact-usreportedpublished by the firm, firm site, Sep 17, 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
- Wealth manager with institutional or fund businessderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $43.3Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026