DFX Intelligence

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

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RIA / WealthRegistered adviserIndependent wealth managerSEC registeredRAUM 100m 1b

L••• B••••••• I••••••••• C••••••

L••• B••••••• • C• I••, CRD 105968

PRESCOTT, AZ

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Search this name across graphs

Data as of Mar 27, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 5:16 PM UTC and rebuilt at most every 15 minutes.

Relationships: 15
Dated events: 4
On other graphs: 1
Observed: Feb 8, 2012 to Mar 27, 2026
18 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Real Estate Fundsidentity

L••• B••••••• I••••••••• C••••••

Real estate fund manager · key_crd, key_sfn_adviser, shared_crd

Facts

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

Firm class: independent wealth managerderivedprivate_client_share=0.92 fund_share=0.0 institutional_share=0.03 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $240M••• Locked
Discretionary RAUM: $240M
Private client RAUM: $222Mderived••• Locked
Private client share: 92%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 3
RAUM per advisor: $80.0Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
K•••• P•••••• L•••	n/a	PRESCOTT, AZ	32	44	1	no
M•••• K••• L•••	n/a	Scottsdale, AZ \| PRESCOTT, AZ	2	11

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
C••••••• P•••••••• L••	Real Estate Fund	$2.2M	Aug 15, 2024	18	May 3, 2024	reported	n/a
L••• T•••••• P•••••••• L•	Real Estate Fund	$2.0M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
L•••• K••••• P••••••	PRESIDENT/CEO	E	yes	01/1990	Feb 8, 2012	Dec 18, 2024
A••••• J•••••• M••••••	Shareholder	A	no	02/2024	May 3, 2024	Dec 18, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
L••• B••••••• • C• I••	n/a	Independent wealth	$240M	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Scottsdale	Az	United States	1	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 27, 2026

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
0	2	-2	66.7%	0	2	0	4	2

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$240M	$193M	24.7%	n/a	n/a	6	6	1	1

Relationships

Affiliated with (1)

→ L••• B••••••• I••••••••• C••••••Registered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV

Advises (4)

→ G••••• P•••••••• L••Private fundReal Estate Fund, IA
May 3, 2024 to presentfactForm ADV
→ C••••••• P•••••••• L••Private fundReal Estate Fund, IA
May 3, 2024 to presentfactForm ADV
→

Dated events

Occurred
Aug 31, 2026
Advisor changed firm
••• Locked
Form ADVobserved today
Occurred
Jul 31, 2026
Advisor changed firm
••• Locked
Form ADVobserved 8 days ago
Occurred
May 3, 2024
First Form ADV filing
••• Locked
Form ADVobserved 8 days ago
Occurred
May 3, 2024
Control person left

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Feb 8, 2012
Last observed: Mar 27, 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.