{ "crd_number": 293667, "slug": "jm-financial-limited-mumbai-maharastra-293667", "primary_business_name": "JM FINANCIAL LIMITED", "legal_name": "JM FINANCIAL LIMITED", "dbas": [], "city": "Mumbai, Maharastra", "state": null, "country": "India", "cbsa_code": null, "metro": null, "registration_type": "exempt", "registration_status": "ERA - Active", "registration_date": "2018-03-28", "years_registered": 8, "period": "2026-10-01", "filing_date": "2026-06-27", "carried_forward": false, "raum_total": null, "raum_discretionary": null, "raum_non_discretionary": null, "raum_band": "not_reported", "raum_band_label": "Not reported", "total_employees": null, "advisory_employees": null, "client_count_bucket": null, "clients_by_type": null, "compensation_types": [], "advisory_activities": [], "wrap_fee_participant": null, "disclosure_yes_count": 6, "states_registered": [], "websites": [ "https://facebook.com/jmfinancial", "https://jmfl.com", "https://linkedin.com/company/jm-financial-ltd/posts?feedView=all&viewAsMember=true" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/293667", "disclosure_items": [ { "item": "11.D(2)", "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?" }, { "item": "11.D(4)", "question": "In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?" }, { "item": "11.E(4)", "question": "Has a self-regulatory organization or a commodities exchange ever disciplined the firm or an advisory affiliate by expelling or suspending it from membership, barring or suspending it from association with other members, or otherwise restricting its activities?" }, { "item": "11.G", "question": "Is the firm or an advisory affiliate now the subject of a regulatory proceeding that could result in a yes answer to any part of 11.C, 11.D, or 11.E?" }, { "item": "11.H(1)(a)", "question": "In the past ten years, has a domestic or foreign court issued an injunction against the firm or an advisory affiliate in connection with investment-related activity?" }, { "item": "11.H(2)", "question": "Is the firm or an advisory affiliate now the subject of a civil proceeding that could result in a yes answer to any part of 11.H(1)?" } ], "city_as_filed": "MUMBAI, MAHARASTRA", "url": "https://advisorcensus.com/firm/jm-financial-limited-mumbai-maharastra-293667", "display_name": "JM Financial Limited", "summary": "JM Financial Limited is an exempt reporting adviser in Mumbai, Maharastra, India, filing reports since 2018. Exempt reporting advisers do not report regulatory assets under management on Form ADV.", "citation": "AdvisorCensus. JM Financial Limited (CRD 293667): Form ADV filing data as of October 2026.", "registration_type_label": "Exempt reporting adviser", "compensation_labels": [], "advisory_activity_labels": [], "quick_answers": [ { "q": "Where is JM Financial Limited located?", "a": "JM Financial Limited's principal office is in Mumbai, Maharastra, India, according to its Form ADV." }, { "q": "How does JM Financial Limited report to regulators?", "a": "JM Financial Limited is an exempt reporting adviser, filing reports since 2018. Exempt reporting advisers file a shorter Form ADV. Status as filed: ERA - Active. CRD 293667." }, { "q": "Does JM Financial Limited report any disciplinary disclosures?", "a": "Reports 6 disclosure items on Form ADV Item 11: yes answers to 11.D(2) (another regulator's finding of a violation), 11.D(4) (another regulator's order in the past ten years), 11.E(4) (self-regulatory organization's expulsion, suspension, bar, or restriction), 11.G (pending regulatory proceeding), 11.H(1)(a) (court injunction in the past ten years), and 11.H(2) (pending civil proceeding). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's public record on IAPD: https://adviserinfo.sec.gov/firm/summary/293667" }, { "q": "What changed in JM Financial Limited's recent Form ADV filings?", "a": "In the July 2026 filing data: Item 11 disclosure answers changed: 6 yes answers, previously 4 (now yes: 11.E(4), 11.H(1)(a))." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": null, "total_employees": null, "filing_date": "2021-06-30" }, { "period": "2022-10-01", "regulatory_assets_under_management": null, "total_employees": null, "filing_date": "2022-06-30" }, { "period": "2023-10-01", "regulatory_assets_under_management": null, "total_employees": null, "filing_date": "2023-06-29" }, { "period": "2024-10-01", "regulatory_assets_under_management": null, "total_employees": null, "filing_date": "2024-06-28" }, { "period": "2025-10-01", "regulatory_assets_under_management": null, "total_employees": null, "filing_date": "2025-06-29" }, { "period": "2026-10-01", "regulatory_assets_under_management": null, "total_employees": null, "filing_date": "2026-06-27" } ], "recent_changes": [ { "period": "2026-07-01", "period_label": "July 2026", "notes": [ "Item 11 disclosure answers changed: 6 yes answers, previously 4 (now yes: 11.E(4), 11.H(1)(a))." ] } ], "fees_from_brochure": null, "custodians": [], "custodians_note": null, "markdown_url": "https://advisorcensus.com/firm/jm-financial-limited-mumbai-maharastra-293667.md", "clients": [], "disclosure_line": "Reports 6 disclosure items on Form ADV Item 11.", "indexable": true, "suppressed": false, "claimed": false, "enhanced": false, "provided_by_the_firm": null, "source": { "name": "Form ADV", "as_of": "2026-10-01", "iapd_url": "https://adviserinfo.sec.gov/firm/summary/293667", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }