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• C•••••• A••••••• G•••• L••
Latest filing Jun 3, 2026
First filing on the tape Jan 14, 2026 · 3 filings
SEC status 120-day approval since Jan 15, 2026
RAUM
$263M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
88%
$232M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$263M
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$263M as of Jun 3, 2026
Jan 14, 2026$0 then
HNW client RAUM$204M as of Jun 3, 2026
May 13, 2026$204M then
State-registered IARs (5.B.3)1 as of Jun 3, 2026
Jan 14, 20261 then
Employees (5.A)2 as of Jun 3, 2026
Jan 14, 20261 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jun 3, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $263MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 199derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.1MderivedHNW RAUM over HNW clients
- Average account
- $738,817derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 6.9%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 2.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 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, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, otherreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$204M78%
- Individuals$28.0M11%
- Pension and profit-sharing plans$18.0M6.8%
- Corporations and businesses$13.0M4.9%
- Charitable organizations$19,0000.0%
- Individual clients
- 102reported
- HNW clients
- 97reported
- Pension plan clients
- 3reported
- Charitable clients
- 2reported
- Accounts
- 356reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.88 fund_share=0.0 institutional_share=0.07 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| J•••• A••••• C•••Certified Financial Planner | Stamford, Ct | Jan 16, 2026 | 30 y | 3 |
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
- J•••• A••••• C••• from T•• C•••••• G••••• L••Jan 16, 2026 · RIA to a newly registered adviser
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••• J••••• A••••• · Principal, And Managing Partnercontrolsince 11/2025 · owns 75% or more
- D••••• K••••• T••••• · Chief Compliance Officersince 04/2026 · owns less than 5%
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
- Employees · 1 to 2May 13, 2026 to Jun 3, 2026
- Accounts · 0 to 356Jan 14, 2026 to May 13, 2026
- Charity clients · unset to 2.0Jan 14, 2026 to May 13, 2026
- Corporate clients · unset to 11.0Jan 14, 2026 to May 13, 2026
- HNW clients · unset to 97.0Jan 14, 2026 to May 13, 2026
- Individual clients · unset to 102.0Jan 14, 2026 to May 13, 2026
- Pension plan clients · unset to 3.0Jan 14, 2026 to May 13, 2026
- Pooled vehicle clients · unset to 0.0Jan 14, 2026 to May 13, 2026
- Discretionary RAUM · $0 to $263MJan 14, 2026 to May 13, 2026
- HNW RAUM · unset to 204000000.0Jan 14, 2026 to May 13, 2026
- Individual RAUM · unset to 28000000.0Jan 14, 2026 to May 13, 2026
- Pension RAUM · unset to 18000000.0Jan 14, 2026 to May 13, 2026
- RAUM · $0 to $263MJan 14, 2026 to May 13, 2026
Signals
No event on the tape.
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 email
- i•••@j•••••••••.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 203-889-3400reportedpublished by the firm, firm site, Sep 17, 2026
- Website
- j•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 203-889-3400reportedpublic record, Form ADV, Jun 3, 2026
- Contact form
- j•••••••••.comreportedpublished 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
- Independent wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $263Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026