DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM under $100M

L•• I••••••••• M••••••••• L••

CRD 120535

SARATOGA SPRINGS, NY

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Search this name across graphsid dfx:ria:6b084538-905b-1cfa-6258-cc728e6e3005

Data as of Feb 21, 2025 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 9:09 PM UTC and rebuilt at most every 15 minutes.

Relationships: 2
Dated events: 3
On other graphs: 0
Observed: Mar 31, 2016 to Feb 21, 2025
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: $90.5M••• Locked
Discretionary RAUM: $90.5M
Private client RAUM: $90.5Mderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 1

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
L••• J••••• W••	CHIEF COMPLIANCE OFFICER, MANAGING MEMBER	E	yes	09/1998	Mar 31, 2016	Mar 22, 2024

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2024

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	1	-1	n/a	0	0	0	0	1

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2024	$90.5M	$75.3M	20.1%	$63.7M	12.4%	1	1	0	0

Relationships

Registered with (1)

← J•••• W•• L••Advisorregistration: previous registration
Aug 23, 2021 to Nov 21, 2025factForm ADV

Controls (1)

← L••• J••••• W••OwnerCHIEF COMPLIANCE OFFICER, MANAGING MEMBER, ownership code E, individual
Mar 31, 2016 to Mar 22, 2024factForm ADV

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Nov 21, 2025
Advisor changed firm
••• Locked
Form ADVobserved 7 days ago
Occurred
Mar 31, 2016
First Form ADV filing
••• Locked
Form ADVobserved 7 days ago

Show 1 bookkeeping events

Occurred
Dec 20, 2025
••• Locked

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6b084538-905b-1cfa-6258-cc728e6e3005
First observed: Mar 31, 2016
Last observed: Feb 21, 2025 19 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.