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L••• ADVISORS LLC, CRD 168868
COVINGTON, KY
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
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.
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| L•••• R••••• M•••• | TRUSTEE OF S•••••• L••• FAMILY TRUST | Na | yes | 12/1985 | Mar 30, 2017 | Mar 22, 2021 |
| L•••• S••••••• G•••• | MANAGING DIRECTOR, TRUSTEE OF S•••••• L••• FAMILY TRUST (SINCE 12/1985) | Na | yes | 08/2013 | Dec 19, 2014 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| J•••••• A••••••• G••••• L•• | n/a | Independent wealth | $1.7B | N | yes | n/a |
| R•••••• C•••••••• | n/a | n/a | n/a | N | no | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| Ventura | CA | United States | 2 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2020 | $224M | $160M | 40.5% | $246M | -3.0% | 10 | 10 | 1 | 1 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| M•••••• | 2 | Sep 13, 2021 | Sep 1, 2021 | VENTURA, CA | Team lift out | RIA to ibd | 66.7% |
| J•••••• A••••••• G••••• L•• | 2 | Aug 31, 2021 |
| Mar 22, 2021 |
| L•••• T••••• S•••• | ELECTED MANAGER, MEMBER AND CHIEF COMPLIANCE OFFICER | D | yes | 08/2013 | Dec 19, 2014 | Mar 22, 2021 |
| R•••••• T•••••• J•••• | DIRECTOR OF COMPLIANCE | Na | yes | 02/2019 | Jun 19, 2019 | Mar 22, 2021 |
| S•••••• L••• F••••• T•••• D•••• 1•••••••• | Member | C | yes | 08/2013 | Mar 30, 2017 | Mar 22, 2021 |
| W•••••• M••••••• J• | CHIEF FINANCIAL OFFICER | Na | yes | 10/2019 | Dec 4, 2019 | Mar 22, 2021 |
| S••••••• M••••••• J• | SENIOR FINANCIAL ADVISOR | Na | no | 07/2014 | Mar 30, 2017 | Mar 22, 2021 |
| Mar 19, 2021 |
| $224M |
| $205M |
| 10 |
| 7 |
| 1 |
| n/a |
| n/a |
| 2019 | Mar 27, 2020 | $160M | $145M | 10 | 7 | 1 | n/a | n/a |
| 2018 | Mar 29, 2019 | $259M | $259M | 10 | 6 | 2 | n/a | n/a |
| 2017 | Mar 29, 2018 | $246M | $239M | 10 | 8 | 3 | n/a | n/a |
| 2016 | Mar 30, 2017 | $195M | $195M | 10 | 8 | n/a | n/a | n/a |
| 2015 | Mar 30, 2016 | $159M | $159M | 10 | 8 | n/a | n/a | n/a |
| 2014 | Apr 2, 2015 | $161M | $161M | 8 | 6 | n/a | n/a | n/a |
| Aug 14, 2024 |
| COVINGTON, KY |
| Team lift out |
| RIA to RIA |
| 50.0% |
| J•••••• A••••••• G••••• L•• | 2 | Feb 3, 2020 | Dec 6, 2024 | COVINGTON, KY | Team lift out | RIA to RIA | 28.6% |