DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

D••••• W•••••• L••

CRD 297987

PALM BEACH GARDENS, FL

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Search this name across graphsid dfx:ria:70fdc127-1f9d-419b-a451-7767ec0e80b9

Data as of Aug 11, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 1:59 PM UTC and rebuilt at most every 15 minutes.

Relationships: 98
Dated events: 40
On other graphs: 0
Observed: Sep 6, 2018 to Aug 11, 2026
54 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: independent wealth managerderivedprivate_client_share=0.95 fund_share=0.0 institutional_share=0.05 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $6.9B••• Locked
Discretionary RAUM: $6.9B
Private client RAUM: $6.6Bderived••• Locked
Private client share: 95%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 61
RAUM per advisor: $114Mderived

Advisors on IAPD

••• Locked

Advisor	Designations	Branch	Years here	In industry	Prior firms	Dual registered
P•••• J••• R•••••••	n/a	PALM BEACH GARDENS, FL	7	42	6	no
M•••••• J••• O••••	n/a	PALM BEACH GARDENS, FL \| MANCHESTER, MA	7	31

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
P•• F••• S••• L••	Hedge Fund	$972,000	Oct 5, 2022	114	Dec 22, 2011	dropped	021-148893
P•••••••• A••••••• R••••• M••••• F•••• L•	Hedge Fund	$465,000	Aug 11, 2026

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A•••••••• M•••• L•••••	CHIEF OPERATING OFFICER, GENERAL COUNSEL	Na	yes	07/2025	Aug 11, 2026	Aug 11, 2026
B•••••• L•••• S•	CHIEF TECHNOLOGY OFFICER	Na	yes	03/2023	Aug 11, 2026	Aug 11, 2026

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
D••••• W••••• M••••••••• L••	n/a	Former SEC adviser	$76.6M	N	yes	n/a
D••••• T•• S•••••••• L••	n/a	n/a	n/a	N	yes	n/a
P•••••••• G• I•• L••

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Danvers	Ma	United States	7	no
Sartell	Mn	United States	5	no
Akron	Oh	United States	4	no
Mechanicsburg	Pa	United States	4	no
Billings	Mt	United States

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

Advisor flows

••• Locked

Joined, 12m	Left, 12m	Net, 12m	Departure rate, 12m	Joined, 90d	Left, 90d	Left, no destination yet	Joined, 36m	Left, 36m
11	1	10	1.6%	0	0	0	26	8

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	$6.9B	$6.3B	9.6%	$2.5B	39.7%	91	78	21	19

Teams out

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
P•••••••• C•••••• M•••••••••	2	Jul 3, 2025	Jun 18, 2025	PALM BEACH GARDENS, FL	Team lift out	RIA to new firm	4.0%

Teams in

••• Locked

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
L••••••••• A••••••• I•••	3	Dec 18, 2025	Dec 15, 2025	READING, PA	Firm absorbed	RIA to RIA	100.0%
L••••• I••••••••• G••••• L••	5	Dec 12, 2025	Nov 3, 2025

Relationships

showing 80 of 98

Affiliated with (3)

→ D••••• W••••• M••••••••• L••Registered adviserother investment adviser, common control
factForm ADV
← D••••• W••••• M••••••••• L••Registered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
← S••••••••• P••••••• L••Registered adviserother investment adviser, control, common control
factForm ADV

Registered with (68)

Dated events

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

Occurred
Dec 18, 2025
Firm absorbed
L••••••••• A••••••• I•••'s advisors moved to D••••• W•••••• L•• (Reading, PA): 3 of 3 registered, on the same day
Form ADVobserved 7 days ago
3 advisors
Occurred
Dec 12, 2025
Firm absorbed
L••••• I••••••••• G••••• L••'s advisors moved to D••••• W•••••• L•• (Lewes, DE): 5 of 5 registered, on the same day
Form ADVobserved 7 days ago
5 advisors
Occurred
Sep 22, 2025
Advisor changed firm
Bailey O'Brien Fielding left D••••• W•••••• L•• for Integrated Wealth Concepts Llc (registered 2025-10-15)
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:70fdc127-1f9d-419b-a451-7767ec0e80b9
First observed: Sep 6, 2018
Last observed: Aug 11, 2026 42 days 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.