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• S•••• • C••• L••
Latest filing Jul 16, 2026
First filing on the tape Nov 22, 2023 · 6 filings
SEC status approved since Dec 22, 2023
RAUM
$609M
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
4
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$609M as of Jul 16, 2026
Mar 26, 2024$25.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 16, 2026
Mar 26, 20240 then
Employees (5.A)4 as of Jul 16, 2026
Mar 26, 20243 then
Private funds1 as of Jul 16, 2026
Mar 26, 20241 then
RAUM +62% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jul 16, 2026; 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
- $609MderivedRAUM 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
- +62%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $609M, 1 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$609M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $609M for 1 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| J• S•••• • C•• W•••• S•••• G••••• E••••• F•••• L• | Other Private Fund | $25.0M | 1 | Nov 2, 2023 |
Owners and control persons
Schedule A and B, latest filing
- D•••••• R••••• · Principalcontrolsince 03/2023 · owns 10% to 25%
- P••••• C••••••••• R•••• · Principalcontrolsince 03/2023 · owns 10% to 25%
- P••••• T•••••• L••••• A••••• · Ccocontrolsince 03/2023 · owns less than 5%
Entity owners
- J• S•••• • C• U• H••••••• I•• · Managing Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- J• S•••• • C• W•••• S•••• G•• L••pooled vehicle sponsory
- J• S•••• • C•• L••investment advisernRAUM $2.2B
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $376M to $609MMar 27, 2025 to Mar 30, 2026
- Discretionary RAUM · $376M to $609MMar 27, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $376M to $609MMar 27, 2025 to Mar 30, 2026
- RAUM · $376M to $609MMar 27, 2025 to Mar 30, 2026
- Assets in custody · $25.0M to $376MSep 5, 2024 to Mar 27, 2025
- Employees · 3 to 4Sep 5, 2024 to Mar 27, 2025
- Financial planning clients · unset to Sep 5, 2024 to Mar 27, 2025
- Discretionary RAUM · $25.0M to $376MSep 5, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $25.0M to $376MSep 5, 2024 to Mar 27, 2025
- RAUM · $25.0M to $376MSep 5, 2024 to Mar 27, 2025
- Private funds · 2 to 1Nov 22, 2023 to Mar 26, 2024
Signals
2 dated events
- J• S•••• • C••• L•• reported RAUM $608.6M, up 62% from $376.3M (2025-03-27 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- J• S•••• • C••• L•• filed its initial SEC registration (Form ADV)Nov 22, 2023 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- J• S•••• • C••• L•• · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/j-stern-&-co-reportedpublic record, Form ADV, Sep 19, 2026
- Website
- j•••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-219-0200reportedpublic record, Form ADV, Jul 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
- Asset manager (funds and pooled vehicles)deriveda 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