DFX Intelligence

R•••••• A•••• M••••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

R•••••• A•••• M••••••••• L••

CRD 114057

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Search this name across graphsid dfx:ria:5b44d49b-6d2a-cfb3-2b89-8006faa4ddb3

Data as of Mar 26, 2024 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:32 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Mar 28, 2012 to Mar 26, 2024
20 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: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $95.4M••• Locked
Discretionary RAUM: $95.4M
Private client RAUM: $11.2Mderived••• Locked
Private client share: 12%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 3

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
L••••• C••••• L•	CHIEF OPERATING OFFICER/CHIEF COMPLIANCE OFFICER/MEMBER	B	yes	03/2007	Mar 28, 2012	Mar 26, 2024
R••••••• J••••• C•••••••••	PRESIDENT/PORTFOLIO MANAGER/MANAGING MEMBER	E	yes	12/1998	Mar 28, 2012	Mar 26, 2024

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
n/a	n/a	n/a	1	no

Regulatory AUM by fiscal year

••• Locked

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

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2023	$95.4M	$85.2M	11.9%	$125M	-8.7%	3	3	1	1

Relationships

Controls (2)

← R••••••• J••••• C•••••••••OwnerPRESIDENT/PORTFOLIO MANAGER/MANAGING MEMBER, ownership code E, individual
Mar 28, 2012 to presentfactForm ADV
← L••••• C••••• L•OwnerCHIEF OPERATING OFFICER/CHIEF COMPLIANCE OFFICER/MEMBER, ownership code B, individual
Mar 28, 2012 to presentfactForm ADV

Owns (1)

← C•••••••• E•••••• A••••••••OwnerMEMBER, ownership code A, individual
Mar 26, 2014 to presentfactForm ADV

Registered with (2)

Dated events

Occurred
Dec 6, 2024
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5b44d49b-6d2a-cfb3-2b89-8006faa4ddb3
First observed: Mar 28, 2012
Last observed: Mar 26, 2024 30 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.