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D••••• I••••• I••••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 1b 10b

D••••• I••••• I••••••••• L••

CRD 109505

NEW YORK, NY

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Search this name across graphsid dfx:ria:17de5d23-3a73-4655-7b36-25a93cb72c83

Data as of Feb 25, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:07 PM UTC and rebuilt at most every 15 minutes.

Relationships: 18
Dated events: 3
On other graphs: 0
Observed: Mar 29, 2012 to Feb 25, 2026
28 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=6.0
Regulatory AUM: $2.4BItem 5.F on the latest filing (2026-02-25); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $2.4B
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D•••••• M••••• L•••••	GENERAL COUNSEL AND MEMBER	Na	yes	11/2014	Mar 27, 2015	Feb 28, 2024
L•••••• C•••••• M••••	CEO, MEMBER AND MANAGER	A	yes	07/2005	Mar 29, 2012

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
L•••••• W•••••• • C••••••• F•••••••• A•••••••• L••	n/a	Independent wealth	$13B	N	yes	n/a
D••• I••••••••• S••••••• L••	n/a	n/a	n/a	Y

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$2.4B	$2.3B	7.3%	$2.2B	4.0%	23	27	0	0

Relationships

Affiliated with (2)

← L•••••• W•••••• • C••••••• F•••••••• A•••••••• L••Registered adviserother investment adviser, control, common control
factForm ADV
→ L•••••• W•••••• • C••••••• F•••••••• A•••••••• L••Registered adviserother investment adviser, common control
factForm ADV

Owns (9)

← B•••••• J••••• E•••OwnerMEMBER, ownership code A, individual
Mar 29, 2012 to Feb 28, 2024factForm ADV
← K••••• N•••••Owner

Dated events

Occurred
Feb 28, 2023
Regulatory AUM changed
D••••• I••••• I••••••••• L•• reported RAUM $2.2B, down 28% from $3.0B (2022-04-20 to 2023-02-28)
Form ADVobserved 6 days ago
$-832M
Occurred
Mar 30, 2021
Regulatory AUM changed
D••••• I••••• I••••••••• L•• reported RAUM $2.6B, up 27% from $2.0B (2020-03-27 to 2021-03-30)
Form ADVobserved 6 days ago
$536M
Occurred
Mar 13, 2018
Regulatory AUM changed
D••••• I••••• I••••••••• L•• reported RAUM $2.5B, up 36% from $1.8B (2017-03-28 to 2018-03-13)
Form ADVobserved 6 days ago
$652M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:17de5d23-3a73-4655-7b36-25a93cb72c83
First observed: Mar 29, 2012
Last observed: Feb 25, 2026 6 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

2025	Feb 25, 2026	$2.4B	$2.4B	23	13	0	n/a	n/a
2024	Mar 10, 2025	$2.3B	$2.3B	27	14	0	n/a	n/a
2023	Feb 28, 2024	$2.1B	$2.1B	29	14	0	n/a	n/a
2022	Feb 28, 2023	$2.2B	$2.2B	29	16	0	n/a	n/a
2021	Feb 28, 2022	$3.0B	$3.0B	26	15	0	n/a	n/a
2020	Mar 30, 2021	$2.6B	$2.6B	28	15	0	n/a	n/a
2019	Mar 27, 2020	$2.0B	$2.0B	26	12	0	n/a	n/a
2018	Mar 29, 2019	$2.1B	$2.1B	27	12	0	n/a	n/a
2017	Mar 13, 2018	$2.5B	$2.5B	24	10	0	n/a	n/a
2016	Mar 28, 2017	$1.8B	$1.8B	24	12	n/a	n/a	n/a
2015	Mar 28, 2016	$1.5B	$1.5B	26	12	n/a	n/a	n/a
2014	Mar 27, 2015	$1.6B	$1.6B	22	12	n/a	n/a	n/a
2013	Mar 28, 2014	$1.4B	$1.4B	22	10	n/a	n/a	n/a
2012	Mar 20, 2013	$1.1B	$1.1B	19	6	n/a	n/a	n/a
2011	Mar 29, 2012	$1.0B	$1.0B	n/a	n/a	n/a	n/a	n/a